James Robert Poteet

Current Employers

Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2023-11-15
NC	RA	APPROVED	2014-05-06
TX	RA	APPROVED_RES	2014-05-05

MI RA
APPROVED

Since 2023-11-15
NC RA
APPROVED

Since 2014-05-06
TX RA
APPROVED_RES

Since 2014-05-05

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	04/2014	Present
Vanguard Marketing Corporation	Charlotte	NC	04/2014	Present
Vanguard Advisers, Inc.	Charlotte	NC	05/2025	Present

04/2014 → Present

The Vanguard Group, Inc.

Charlotte, NC
04/2014 → Present

Vanguard Marketing Corporation

Charlotte, NC
05/2025 → Present

Vanguard Advisers, Inc.

Charlotte, NC

Previous Registrations

2014-01-21 → 2014-03-24

Cetera Investment Advisers Llc

Schaumburg, IL
2013-02-11 → 2014-01-21

Cetera Investment Services Llc

Midland, MI

St. Louis, MI
2011-02-23 → 2011-09-26

Msi Financial Services, Inc.

Traverse City, MI

Grand Rapids, MI

Grand Rapids, MI
2009-06-02 → 2009-11-11

Lpl Financial Llc

Fort Mill, SC

Traverse City, MI

Bellaire, MI

Boyne City, MI

Charlevoix, MI

Traverse City, MI

Traverse City, MI
2007-03-23 → 2009-06-01

Chase Investment Services Corp.

Kalkaska, MI

Traverse City, MI

Traverse City, MI
2005-04-05 → 2006-12-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Traverse City, MI

Traverse City, MI
2004-07-20 → 2005-02-07

Waddell & Reed

Traverse City, MI

Other Businesses

NAME OF BUSINESS: TRUSTEE FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: FIDUCIARY POSITION: TRUSTEE START DATE: 10/2021 APPROXIMATE HOURS/MONTH: 2 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TRUSTEE

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-06-17
S63	Uniform Securities Agent State Law Examination	1999-02-12

S66 Uniform Combined State Law Examination

2004-06-17
S63 Uniform Securities Agent State Law Examination

1999-02-12

Designations

View on SEC IAPD