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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 | 2025-02-06 |
| TX | RA | APPROVED | 2025-02-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 09/2014 | 01/2023 |
| Tiaa | Charlotte | NC | 09/2014 | 01/2023 |
| Cuso Financial Services Lp | Charlotte | NC | 10/2023 | 11/2024 |
| Unemployed | Charlotte | NC | 02/2023 | 10/2023 |
| The Vanguard Group, Inc. | Charlotte | NC | 01/2025 | Present |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: LIFE, ACCIDENT & HEALTH INSURANCE LICENSE INVESTMENT RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: LIFE, ACCIDENT & HEALTH INSURANCE LICENSE POSITION: N/A START DATE: 09/1995 APPROX. HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: ANNUITY LICENSE INVESTMENT RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: ANNUITY LICENSE POSITION: N/A START DATE: 09/1995 APPROX. HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT RELATED ADDRESS: RAMSEUR, NC NATURE OF BUSINESS: RENTAL PROPERTY POSITION: OWNER START DATE: 05/2014 APPROX. HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OWNER/LANDLORD OF COMMERCIAL RENTAL PROPERTY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-01 |
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