Cindy Ann Carpenter

Employer firm

Vanguard Advisers, Inc. CRD 106715

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2012 → 10/2016
  Valuesquest, Inc
  Phoenix, AZ
• 05/2013 → 10/2016
  Commonwealth Financial Network
  Phoenix, AZ
• 10/2016 → 01/2019
  Jp Morgan Chase Bank
  Phoenix, AZ
• 10/2016 → 01/2019
  Jp Morgan Securities, Llc
  Phoenix, AZ
• 07/2005 → 12/2018
  Kt Properties, Llc
  Phoenix, AZ
• 01/2019 → 10/2021
  Matson Money, Inc.
  Scottsdale, AZ
• 02/2022 → Present
  The Vanguard Group, Inc.
  Scottsdale, AZ
• 11/2021 → 02/2022
  Unemployed
  Phoenix, AZ

Previous Registrations

• 2019-06-21 → 2022-02-03
  Matson Money, Inc.
  Scottsdale, AZ
  Mason, OH
• 2016-11-22 → 2019-02-05
  J.P. Morgan Securities Llc
  Phoenix, AZ
• 2013-09-13 → 2016-10-24
  Commonwealth Financial Network
  Phoenix, AZ
  Phoenix, AZ
• 2006-01-30 → 2008-03-26
  National Planning Corporation
  Long Beach, CA
  Phoenix, AZ
  Long Beach, CA

Other Businesses

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

Exams

• S63 Uniform Securities Agent State Law Examination
  2022-04-11
• S65 Uniform Investment Adviser Law Examination
  2019-11-11

Other Names

• Cindy A Russell
• Cindy Ann Russell
• Cindy Ann Carpenter
• Cindy Carpenter