Phillip Chad Farmer

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	2016-12-14
TX	RA	APPROVED_RES	2016-12-14

NC RA
APPROVED

Since 2016-12-14
TX RA
APPROVED_RES

Since 2016-12-14

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • United States

Disclosures

2 disclosure categories 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
The Vanguard Group, Inc.	Charlotte	NC	08/2014	Present
Charlotte Stealth Baseball	Charlotte	NC	05/2015	10/2016
Vanguard Marketing Corporation	Charlotte	NC	08/2014	Present
Vanguard Advisers, Inc.	Charlotte	NC	12/2016	Present

08/2014 → Present

The Vanguard Group, Inc.

Charlotte, NC
05/2015 → 10/2016

Charlotte Stealth Baseball

Charlotte, NC
08/2014 → Present

Vanguard Marketing Corporation

Charlotte, NC
12/2016 → Present

Vanguard Advisers, Inc.

Charlotte, NC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-12-05
S63	Uniform Securities Agent State Law Examination	2014-09-12

S65 Uniform Investment Adviser Law Examination

2016-12-05
S63 Uniform Securities Agent State Law Examination

2014-09-12

Designations

Certified Financial Planner

Other Names

Chad Farmer

View on SEC IAPD