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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-12-24 |
| TX | RA | APPROVED | 2024-12-24 |
Branch Locations
14321 North Northsight Blvd, Scottsdale, AZ 85260 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Usaa Financial Planning Services | Phoenix | AZ | 11/2011 | 01/2018 |
| Usaa Financial Advisors, Inc. | Phoenix | AZ | 05/2011 | 05/2020 |
| Usaa Investment Management Company | Phoenix | AZ | 01/2018 | 05/2020 |
| Charles Schwab & Co., Inc. | Phoenix | AZ | 05/2020 | 12/2022 |
| Charles Schwab Bank, Ssb | Phoenix | AZ | 05/2020 | 12/2022 |
| J.P. Morgan Securities Llc | Tempe | AZ | 10/2023 | 12/2024 |
| Jpmorgan Chase Bank, N.A. | Tempe | AZ | 10/2023 | 12/2024 |
| First Western Financial, Inc. | Scottsdale | AZ | 12/2022 | 03/2023 |
| Usaa Group | Phoenix | AZ | 05/2011 | 05/2020 |
| Unemployed | Scottsdale | AZ | 04/2023 | 09/2023 |
| The Vanguard Group, Inc. | Scottsdale | AZ | 12/2024 | Present |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT RELATED NATURE OF BUSINESS: INSURANCE ADDRESS: SCOTTSDALE, AZ POSITION: N/A START DATE: 6/2011 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 2009-09-14 |
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