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Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2019-11-18
TX RA APPROVED 2019-11-18
  • NC RA
    APPROVED
    Since 2019-11-18
  • TX RA
    APPROVED
    Since 2019-11-18

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc. Charlotte NC 06/2005 Present
  • 06/2005 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 1)Name of Business: Rental property Investment-related: Address: Belmont, NC. Position: Landlord/Owner Start date: 07/2015 Approximate number of hours/month you devote to the other business: <1 Number of hours you devote during securities trading hours: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-07
S63 Uniform Securities Agent State Law Examination 2005-07-07
  • S66 Uniform Combined State Law Examination
    2019-11-07
  • S63 Uniform Securities Agent State Law Examination
    2005-07-07

View on SEC IAPD

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