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Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2019-04-11
TX RA APPROVED_RES 2019-04-11
  • AZ RA
    APPROVED
    Since 2019-04-11
  • TX RA
    APPROVED_RES
    Since 2019-04-11

Branch Locations

14321 N Northsight Blvd, Scottsdale, AZ 85260 • 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
Usaa Financial Advisors Inc. Phoenix AZ 08/2011 02/2019
Usaa Financial Planning Services Phoenix AZ 03/2013 01/2018
Usaa Investment Management Company San Antonio TX 01/2018 02/2019
The Vanguard Group, Inc. Scottsdale AZ 02/2019 Present
  • 08/2011 → 02/2019
    Usaa Financial Advisors Inc.
    Phoenix, AZ
  • 03/2013 → 01/2018
    Usaa Financial Planning Services
    Phoenix, AZ
  • 01/2018 → 02/2019
    Usaa Investment Management Company
    San Antonio, TX
  • 02/2019 → Present
    The Vanguard Group, Inc.
    Scottsdale, AZ
Previous Registrations
Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC. (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-12-07
S63 Uniform Securities Agent State Law Examination 2011-10-21
  • S65 Uniform Investment Adviser Law Examination
    2012-12-07
  • S63 Uniform Securities Agent State Law Examination
    2011-10-21
Designations
Other Names
  • James Patrick Moran
  • James Patrick Moran
  • James Moran

View on SEC IAPD

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