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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2023-11-09 |
| WI | RA | APPROVED | 2023-07-26 |
| PA | RA | APPROVED | 2021-05-03 |
| TX | RA | APPROVED | 2021-05-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lake Country Lutheran High School | Hartland | WI | 08/2013 | 05/2017 |
| University Of Wisconsin-Madison | Madison | WI | 08/2017 | 12/2020 |
| Rosati's Authentic Chicago Pizza | Oconomowoc | WI | 11/2016 | 03/2017 |
| Ab Window Washing | Nashotah | WI | 06/2017 | 08/2019 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 04/2019 | 10/2020 |
| Self-Employed | Nashotah | WI | 03/2020 | 12/2020 |
| The Vanguard Group, Inc. | Charlotte | NC | 01/2021 | Present |
| Vanguard Marketing Corporation | Charlotte | NC | 01/2021 | Present |
| Vanguard Advisers, Inc. | Charlotte | NC | 05/2021 | Present |
NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: LIFE INSURANCE LICENSE POSITION: N/A START DATE: 03/2019 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: HEALTH AND ACCIDENT INSURANCE LICENSE POSITION: N/A START DATE: 03/2019 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-03-22 |
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