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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 | 2020-06-19 |
| AZ | RA | APPROVED | 2015-12-01 |
| TX | RA | APPROVED_RES | 2015-12-01 |
Branch Locations
14321 N. Northsight Boulevard, Scottsdale, AZ 85260 • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rover Enterprises Llc | Scottsdale | AZ | 01/2011 | Present |
| Vanguard | Scottsdale | AZ | 04/2014 | Present |
| H&R Block | Scottsdale | AZ | 03/2019 | 12/2019 |
EMPLOYEE OF THE VANGUARD GROUP, INC. (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355..... 1.NAME OF COMPANY: ROVER ENTERPRISES LLC COMPANY ADDRESS: SCOTTSDALE, AZ 85255 POSITION: MEMBER/OFFICER START DATE: 01/2011 HOURS WORKED PER MONTH: VARIES HOURS WORKED DURING SECURITIES TRADING HOURS: ZERO ONLINE VETERINARY SUPPLIER-SELL PRODUCTS TO VET CLINICS.....
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 2009-02-10 |
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