Phillip Charles Dupont

Current Employers

Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2015-01-27
TX	RA	APPROVED_RES	2015-01-23

PA RA
APPROVED

Since 2015-01-27
TX RA
APPROVED_RES

Since 2015-01-23

Branch Locations

100 Vanguard Blvd, Malvern, PA 19355 • United States

Disclosures

2 disclosure categories 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
The Vanguard Group, Inc.	Malvern	PA	12/1992	Present

12/1992 → Present

The Vanguard Group, Inc.

Malvern, PA

Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-09-25
S63	Uniform Securities Agent State Law Examination	1995-10-19

S65 Uniform Investment Adviser Law Examination

2014-09-25
S63 Uniform Securities Agent State Law Examination

1995-10-19

Other Names

Phillip C Dupont

View on SEC IAPD

Current Employers

Vanguard Advisers, Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

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