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Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2014-02-10
TX RA APPROVED 2014-02-10
  • NC RA
    APPROVED
    Since 2014-02-10
  • TX RA
    APPROVED
    Since 2014-02-10

Branch Locations

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc. Charlotte NC 08/2005 Present
No Mess Dumpsters Iron Station NC 04/2022 08/2025
Vanguard Marketing Corporation Charlotte NC 08/2005 Present
Vanguard Advisers, Inc. Charlotte NC 02/2014 Present
  • 08/2005 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
  • 04/2022 → 08/2025
    No Mess Dumpsters
    Iron Station, NC
  • 08/2005 → Present
    Vanguard Marketing Corporation
    Charlotte, NC
  • 02/2014 → Present
    Charlotte, NC
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-09-14
  • S63 Uniform Securities Agent State Law Examination
    2005-09-14
Designations

View on SEC IAPD

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