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100 Vanguard Blvd, Malvern, PA 19355 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-12-13 |
| TX | RA | APPROVED | 2024-12-11 |
Branch Locations
14321 North Northsight Blvd, Scottsdale, AZ 85260 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Services Automobile Association (Usaa) | Phoenix | AZ | 11/2005 | 04/2022 |
| Morgan Stanley Smith Barney Llc | Gilbert | AZ | 04/2022 | 01/2023 |
| Morgan Stanley Smith Barney Llc | Tempe | AZ | 01/2023 | 08/2023 |
| Abide Consulting Group Llc | Scottsdale | AZ | 10/2023 | 07/2024 |
| Abide Consulting Group Llc | Strawberry | AZ | 07/2024 | 10/2024 |
| The Vanguard Group, Inc. | Scottsdale | AZ | 10/2024 | Present |
| University Of Arizona | Scottsdale | AZ | 08/2017 | 05/2019 |
| Abide Consulting Group Llc | Scottsdale | AZ | 10/2023 | 07/2024 |
| Abide Consulting Group Llc | Strawberry | AZ | 07/2024 | 10/2024 |
| Finra | Washington | DC | 11/2019 | Present |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: FINRA INVESTMENT RELATED ADDRESS: WASHINGTON, DC NATURE OF BUSINESS: ARBITRATOR POSITION: FINRA ARBITRATOR START DATE: 11/2019 APPROX. HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SIT ON FINRA ARBITRATION CASES AS A FINRA NON-PUBLIC ARBITRATOR
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 2005-04-27 |
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