Stephanie Jean Fridley Hartman

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	2021-05-04
TX	RA	APPROVED	2021-05-04

NC RA
APPROVED

Since 2021-05-04
TX RA
APPROVED

Since 2021-05-04

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	06/2014	Present
Gaston County Family Ymca	Gastonia	NC	12/2024	Present

06/2014 → Present

The Vanguard Group, Inc.

Charlotte, NC
12/2024 → Present

Gaston County Family Ymca

Gastonia, NC

Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: GASTON COUNTY YMCA NON-INVESTMENT-RELATED ADDRESS: GASTONIA, NC NATURE OF BUSINESS: YOGA POSITION: YOGA INSTRUCTOR START DATE: 12/10/2024 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: YOGA INSTRUCTOR

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-04-16
S63	Uniform Securities Agent State Law Examination	2014-07-21

S66 Uniform Combined State Law Examination

2021-04-16
S63 Uniform Securities Agent State Law Examination

2014-07-21

Other Names

Stephanie J Fridley
Stephanie J Fridley Hartman
Stephanie J Fridley Hartman
Stephanie Jean Fridley
Stephanie J.F. Hartman

View on SEC IAPD