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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2023-07-19 |
| SC | RA | APPROVED | 2022-09-27 |
| NC | RA | APPROVED | 2022-09-15 |
| TX | RA | APPROVED | 2022-09-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc D.B.A. Westgate Capital Consultants | Tacoma | WA | 08/2007 | 02/2019 |
| Lpl Financial Llc D.B.A. Jeff Huff & Associates | Tacoma | WA | 02/2019 | 05/2021 |
| Pricewaterhousecoopers | Tacoma | WA | 05/2021 | 07/2022 |
| Robin Miller Financial | Fox Island | WA | 08/2021 | 09/2023 |
| The Vanguard Group, Inc. | Charlotte | NC | 08/2022 | Present |
| Vanguard Marketing Corporation | Charlotte | NC | 08/2022 | Present |
| Vanguard Advisers, Inc. | Charlotte | NC | 08/2022 | Present |
NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: LAKE WYLIE, SC NATURE OF BUSINESS: INSURANCE LICENSE POSITION: N/A START DATE: 06/2023 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: WASHINGTON WOMEN'S IN INSURANCE AND FINANCIAL SERVICES INVESTMENT-RELATED ADDRESS: FOX ISLAND, WA NATURE OF BUSINESS: NON-PROFIT POSITION: BOARD MEMBER START DATE: 05/2020 APPROXIMATE HOURS/MONTH: 3 HOURS DEVOTED DURING TRADING HOURS: 3 DUTIES: MAINTAIN MONETARY RECORDS
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2006-01-19 |
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