Jake Robert Brockman

Vanguard Advisers, Inc.

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Current Employers

Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2026-05-20
AZ	RA	APPROVED	2025-03-18
TX	RA	APPROVED	2025-03-11

NC RA
APPROVED

Since 2026-05-20
AZ RA
APPROVED

Since 2025-03-18
TX RA
APPROVED

Since 2025-03-11

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
Vanguard Advisers, Inc.	Charlotte	NC	03/2025	Present
The Vanguard Group, Inc.	Charlotte	NC	06/2023	Present
Ameriprise Financial Services, Llc	Minneapolis	MN	05/2022	01/2023
Eastview Highschool	Apple Valley	MN	07/2015	06/2019
Auburn University	Auburn	AL	07/2019	05/2023
Target	Apple Valley	MN	06/2017	05/2021
Target	Opelika	AL	05/2021	05/2022
Vanguard Marketing Corporation	Charlotte	NC	06/2023	Present

03/2025 → Present

Vanguard Advisers, Inc.

Charlotte, NC
06/2023 → Present

The Vanguard Group, Inc.

Charlotte, NC
05/2022 → 01/2023

Ameriprise Financial Services, Llc

Minneapolis, MN
07/2015 → 06/2019

Eastview Highschool

Apple Valley, MN
07/2019 → 05/2023

Auburn University

Auburn, AL
06/2017 → 05/2021

Target

Apple Valley, MN
05/2021 → 05/2022

Target

Opelika, AL
06/2023 → Present

Vanguard Marketing Corporation

Charlotte, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-03-10
S63	Uniform Securities Agent State Law Examination	2023-07-05

S66 Uniform Combined State Law Examination

2025-03-10
S63 Uniform Securities Agent State Law Examination

2023-07-05

View on SEC IAPD

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