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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2021-09-30 |
| TX | RA | APPROVED | 2021-09-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 09/2017 | 04/2018 |
| Edward Jones | Charlotte | NC | 11/2014 | 05/2017 |
| Northwestern Mutual Investment Services Llc | Charlotte | NC | 09/2017 | 02/2019 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 10/2017 | 04/2018 |
| Jacqueline Fish | Charlotte | NC | 04/2018 | 02/2019 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 04/2018 | 02/2019 |
| Jennie Derby | Charlotte | NC | 04/2018 | 02/2019 |
| The Vanguard Group, Inc. | Charlotte | NC | 09/2021 | Present |
| Aig | Charlotte | NC | 05/2019 | 09/2021 |
| Unemployed | Charlotte | NC | 02/2019 | 05/2019 |
| Unemployed | Charlotte | NC | 06/2017 | 09/2017 |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-11-01 |
| S66 | Uniform Combined State Law Examination | 2015-01-09 |
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