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Richard Albert Brauer

Vanguard Advisers, Inc.

Malvern, PA

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Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-11-17
PA RA APPROVED 2016-01-12
TX RA APPROVED 2016-01-12
  • NJ RA
    APPROVED
    Since 2023-11-17
  • PA RA
    APPROVED
    Since 2016-01-12
  • TX RA
    APPROVED
    Since 2016-01-12

Branch Locations

100 Vanguard Blvd, Malvern, PA 19355 • 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. Malvern PA 09/2011 Present
  • 09/2011 → Present
    The Vanguard Group, Inc.
    Malvern, PA
Previous Registrations
  • 2007-02-27 → 2011-06-07
    Ocean City, NJ
    St Louis, MO
Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC. (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BOULEVARD, MALVERN, PA 19355 NAME OF BUSINESS: Executor - Step Father INVESTMENT-RELATED: ADDRESS: Downington, PA START DATE: 8/2021 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-21
S63 Uniform Securities Agent State Law Examination 2006-03-31
  • S66 Uniform Combined State Law Examination
    2007-02-21
  • S63 Uniform Securities Agent State Law Examination
    2006-03-31
Designations
Other Names
  • Richard Brauer
  • Rick Brauer

View on SEC IAPD

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