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Mario Dont'a Rudolph

Vanguard Advisers, Inc.

Charlotte, NC

CRD 6169121

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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
NC RA APPROVED 2025-04-08
TX RA APPROVED_RES 2025-04-08
  • NC RA
    APPROVED
    Since 2025-04-08
  • TX RA
    APPROVED_RES
    Since 2025-04-08

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • 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
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 01/2016 08/2024
The Vanguard Group, Inc. Charlotte NC 03/2025 Present
Lpl Financial Fort Mill SC 08/2024 12/2024
Unemployed Charlotte NC 12/2024 03/2025
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 2013-07-11
  • S66 Uniform Combined State Law Examination
    2013-07-11
Other Names
  • Mario D Rudolph
  • Mario Rudolph
  • Mario Dont'a Rudolph
  • Mario Rudolph
  • Mario Donta Rudolph

View on SEC IAPD

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