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Carter G Garbutt

Vanguard Advisers, Inc.

Charlotte, NC

CRD 5564165

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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:

Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2012-10-22
TX RA APPROVED 2012-10-22
  • NC RA
    APPROVED
    Since 2012-10-22
  • TX RA
    APPROVED
    Since 2012-10-22

Branch Locations

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc. Charlotte NC 07/2008 Present
Vanguard Marketing Corporation Charlotte NC 07/2008 Present
Vanguard Advisers, Inc. Charlotte NC 10/2012 Present
  • 07/2008 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
  • 07/2008 → Present
    Vanguard Marketing Corporation
    Charlotte, NC
  • 10/2012 → Present
    Vanguard Advisers, Inc.
    Charlotte, NC
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-08-12
  • S63 Uniform Securities Agent State Law Examination
    2008-08-12
Designations
  • Certified Financial Planner

View on SEC IAPD

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