Rafael Josue Diaz

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

Authority	Category	Status	Date
NC	RA	APPROVED	2021-01-29
TX	RA	APPROVED	2021-01-29

NC RA
APPROVED

Since 2021-01-29
TX RA
APPROVED

Since 2021-01-29

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

Organization	City	State	From	To
The Vanguard Group, Inc.	Charlotte	NC	01/2014	Present

01/2014 → Present

The Vanguard Group, Inc.

Charlotte, NC

Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 (1)NAME OF BUSINESS: AUTHORIZED AGENT ON FAMILY MEMBER'S ACCOUNTS; INVESTMENT-RELATED; ADDRESS: CRAMERTON, NC; START DATE: 02/2016; APPROXIMATE HOURS/MONTH DEVOTED TO THE BUSINESS: 3 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 (2)NAME OF BUSINESS: AGENT FOR WIFE; INVESTMENT-RELATED; ADDRESS: BELMONT, NJ; START DATE: 04/2017; APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-01-26
S63	Uniform Securities Agent State Law Examination	2014-02-18

S66 Uniform Combined State Law Examination

2021-01-26
S63 Uniform Securities Agent State Law Examination

2014-02-18

Other Names

Rafael J Diaz

View on SEC IAPD