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100 Vanguard Blvd, Malvern, PA 19355 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-12-23 |
| TX | RA | APPROVED | 2021-12-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Dallas | TX | 07/2011 | 11/2021 |
| Wells Fargo Advisors Llc | Dallas | TX | 06/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Dallas | TX | 11/2016 | 11/2021 |
| The Vanguard Group, Inc. | Scottsdale | AZ | 11/2021 | Present |
| Guise Enterprises Llc | Carrollton | TX | 11/2019 | 01/2020 |
| Self Employed | Carrollton | TX | 09/2023 | 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 ADDRESS (City/State): Dallas, TX NATURE OF BUSINESS: Maintaining only POSITION: N/A START DATE (Month/Year): 07/2010 APPROXIMATE HOURS PER MONTH: 0 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: Maintain Only NAME OF BUSINESS: Self Employed NON-INVESTMENT RELATED ADDRESS (City/State): Carrollton, TX NATURE OF BUSINESS: e-commerce POSITION: Owner START DATE: 09/2023 APPROX. HOURS/MONTH: 10 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: Selling items online
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-03-07 |
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