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Sarah Stein

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
PA RA APPROVED 2019-04-03
TX RA APPROVED 2019-04-03
  • PA RA
    APPROVED
    Since 2019-04-03
  • TX RA
    APPROVED
    Since 2019-04-03

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
Jpmorgan Chase Bank Na Jersey City NJ 02/2010 10/2017
J.P. Morgan Securities Llc Hoboken NJ 10/2012 10/2017
The Vanguard Group, Inc. Malvern PA 10/2017 Present
  • 02/2010 → 10/2017
    Jpmorgan Chase Bank Na
    Jersey City, NJ
  • 10/2012 → 10/2017
    J.P. Morgan Securities Llc
    Hoboken, NJ
  • 10/2017 → Present
    The Vanguard Group, Inc.
    Malvern, PA
Previous Registrations
Other Businesses

Employee of The Vanguard Group, Inc. (parent company of Vanguard Marketing Corporation) 100 Vanguard Blvd., Malvern, PA 19355.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-05
S63 Uniform Securities Agent State Law Examination 2010-04-20
  • S66 Uniform Combined State Law Examination
    2017-04-05
  • S63 Uniform Securities Agent State Law Examination
    2010-04-20
Other Names
  • Sarah F Harper
  • Sarah Harper

View on SEC IAPD

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Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · MALVERN, PA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · MALVERN, PA
STATE FARM INVESTMENT MANAGEMENT CORP. · Paoli, PA
MVO PRIVATE WEALTH, LLC · MALVERN, PA
LPL FINANCIAL LLC · Malvern, PA
TRAYNOR CAPITAL MANAGEMENT · MALVERN, PA
NORTHEAST ADVISERS, INC. · PAOLI, PA
HARVEST FINANCIAL PARTNERS · PAOLI, PA

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