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Vanguard Advisers, Inc. CRD 106715
$345B regulatory AUM 89,430 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
100 Vanguard Blvd, Malvern, PA 19355 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2018-11-26 |
| TX | RA | APPROVED | 2018-11-20 |
Branch Locations
14321 N Northsight Blvd, Scottsdale, AZ 85260 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 04/2014 | Present |
| Self-Employed | Phoenix | AZ | 09/2019 | Present |
| Vanguard Marketing Corporation | Scottsdale | AZ | 09/2019 | Present |
NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT-RELATED: ADDRESS: PHOENIX, AZ. POSITION: LANDLORD/OWNER START DATE: 05/2016 APPROXIMATE HOURS/MONTH DEVOTED TO THE BUSINESS: 8 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 NAME OF BUSINESS: SELF-EMPLOYED NON INVESTMENT-RELATED: ADDRESS: PHOENIX, AZ. POSITION: OWNER/PARTNER START DATE: 09/2019 APPROXIMATE HOURS/MONTH DEVOTED TO THE BUSINESS: 4 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SELL VINTAGE HOUSEHOLD ITEMS
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-05-21 |
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