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Serena Hope Horsch

Vanguard Advisers, Inc.

Scottsdale, AZ

CRD 5850739

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Employer firm

Vanguard Advisers, Inc. CRD 106715

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2015-05-07
TX RA APPROVED 2015-04-23
  • AZ RA
    APPROVED
    Since 2015-05-07
  • TX RA
    APPROVED
    Since 2015-04-23

Branch Locations

14321 N. Northsight Boulevard, Scottsdale, AZ 85260 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc Scottsdale AZ 10/2010 Present
  • 10/2010 → Present
    The Vanguard Group, Inc
    Scottsdale, AZ
Other Businesses

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

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-11-02
  • S63 Uniform Securities Agent State Law Examination
    2010-11-02
Designations
  • Certified Financial Planner
Other Names
  • Serena Hope Lomeli

View on SEC IAPD

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