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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 | 2026-04-13 |
| TX | RA | APPROVED_RES | 2026-04-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Garden City Park | NY | 05/2013 | 09/2016 |
| Nationwide Securities, Llc | Charlotte | NC | 06/2017 | 10/2018 |
| Unemployed | Huntersville | NC | 09/2016 | 06/2017 |
| Rsm Us Wealth Management Llc | Charlotte | NC | 10/2018 | 11/2019 |
| Self-Employed | Huntersville | NC | 11/2020 | 03/2021 |
| Self-Employed | Huntersville | NC | 11/2020 | 03/2021 |
| Self-Employed | Huntersville | NC | 05/2020 | 03/2021 |
| Self-Employed | Huntersville | NC | 11/2019 | 03/2021 |
| Truist Investment Services, Inc. | Charlotte | NC | 03/2021 | 03/2026 |
| The Vanguard Group, Inc. | Charlotte | NC | 03/2026 | Present |
| Vanguard Marketing Corporation | Charlotte | NC | 03/2026 | Present |
| Vanguard Advisers, Inc. | Charlotte | NC | 03/2026 | Present |
| Truist Advisory Services, Inc. | Charlotte | NC | 03/2021 | 03/2026 |
NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: HUNTERSVILLE, NC NATURE OF BUSINESS: N.C. LIFE, ACCIDENT AND HEALTH INSURANCE LICENSE POSITION: N/A START DATE: 11/2019 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-07-19 |
| S66 | Uniform Combined State Law Examination | 2013-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 2006-02-13 |
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