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Vanguard Advisers, Inc. CRD 106715
$345B regulatory AUM 89,430 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
100 Vanguard Blvd, Malvern, PA 19355 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-11-29 |
| NC | RA | APPROVED | 2021-07-16 |
| TX | RA | APPROVED | 2021-07-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Auto-Owners Insurance | Irmo | SC | 05/2017 | 08/2017 |
| University Of South Carolina | Columbia | SC | 08/2014 | 05/2018 |
| Unemployed | Charlotte | NC | 05/2018 | 11/2018 |
| Axa Advisors, Llc | Charlotte | NC | 11/2018 | 06/2020 |
| Equitable Advisors, Llc | Charlotte | NC | 11/2018 | 04/2021 |
| The Vanguard Group, Inc. | Charlotte | NC | 06/2021 | Present |
| Unemployed | Charlotte | NC | 05/2021 | 05/2021 |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: NON-INVESTMENT/INVESTMENT RELATED: ADDRESS (City/State): NATURE OF BUSINESS: POSITION: START DATE (Month/Year): APPROXIMATE HOURS PER MONTH: NUMBER OF HOURS DURING TRADING HOURS: DUTIES:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 2018-09-22 |
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