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Thomas Lee Laky

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 2016-12-13
TX RA APPROVED 2016-12-13
  • PA RA
    APPROVED
    Since 2016-12-13
  • TX RA
    APPROVED
    Since 2016-12-13

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 10/2012 Present
  • 10/2012 → Present
    The Vanguard Group, Inc
    Malvern, PA
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 2016-12-05
S63 Uniform Securities Agent State Law Examination 2012-12-18
  • S65 Uniform Investment Adviser Law Examination
    2016-12-05
  • S63 Uniform Securities Agent State Law Examination
    2012-12-18
Other Names
  • Thomas L Laky
  • T.J. Laky

View on SEC IAPD

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