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Sean Michael Molloy

Vanguard Advisers, Inc.

Charlotte, NC

CRD 7564919

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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

AuthorityCategoryStatusDate
NC RA APPROVED 2025-06-11
TX RA APPROVED_RES 2025-06-11
  • NC RA
    APPROVED
    Since 2025-06-11
  • TX RA
    APPROVED_RES
    Since 2025-06-11

Branch Locations

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

Disclosures

1 disclosure category 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 No
  • Termination No
Employment History
OrganizationCityStateFromTo
Coastal Carolina University Conway SC 08/2014 10/2017
Nike Charleston SC 10/2017 05/2018
Parking Management Company Charleston SC 05/2018 12/2018
Nekter Juice Bar San Clemente CA 01/2019 12/2019
Hope By The Sea San Juan Capistrano CA 01/2020 10/2020
Afc Urgent Care Ladera Ranch CA 08/2020 10/2020
Unemployed Dana Point CA 10/2020 01/2022
24 Hour Fitness San Juan Capistrano CA 01/2022 01/2022
Global Faces Direct Phoenix AZ 03/2022 07/2022
The Vanguard Group, Inc. Scottsdale AZ 06/2022 06/2024
College Hunks Hauling Junk Scottsdale AZ 07/2023 09/2023
Valet Living Scottsdale AZ 12/2023 01/2024
The Vanguard Group, Inc. Charlotte NC 06/2024 Present
  • 08/2014 → 10/2017
    Coastal Carolina University
    Conway, SC
  • 10/2017 → 05/2018
    Nike
    Charleston, SC
  • 05/2018 → 12/2018
    Parking Management Company
    Charleston, SC
  • 01/2019 → 12/2019
    Nekter Juice Bar
    San Clemente, CA
  • 01/2020 → 10/2020
    Hope By The Sea
    San Juan Capistrano, CA
  • 08/2020 → 10/2020
    Afc Urgent Care
    Ladera Ranch, CA
  • 10/2020 → 01/2022
    Unemployed
    Dana Point, CA
  • 01/2022 → 01/2022
    24 Hour Fitness
    San Juan Capistrano, CA
  • 03/2022 → 07/2022
    Global Faces Direct
    Phoenix, AZ
  • 06/2022 → 06/2024
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 07/2023 → 09/2023
    College Hunks Hauling Junk
    Scottsdale, AZ
  • 12/2023 → 01/2024
    Valet Living
    Scottsdale, AZ
  • 06/2024 → 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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-10
S63 Uniform Securities Agent State Law Examination 2022-09-22
  • S66 Uniform Combined State Law Examination
    2025-06-10
  • S63 Uniform Securities Agent State Law Examination
    2022-09-22
Other Names
  • Sean Molloy

View on SEC IAPD

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