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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 | 2022-11-21 |
| SC | RA | APPROVED | 2022-10-10 |
| PA | RA | APPROVED | 2019-11-01 |
| TX | RA | APPROVED | 2019-11-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Malvern | PA | 01/2011 | 09/2021 |
| The Vanguard Group, Inc | Charlotte | NC | 09/2021 | Present |
| Vanguard Marketing Corporation | Charlotte | NC | 09/2021 | Present |
| Vanguard Advisers, Inc. | Charlotte | NC | 11/2019 | Present |
NAME OF BUSINESS: AGENT FOR HUSBAND INVESTMENT-RELATED ADDRESS: DOWNINGTOWN, PA START DATE: 10/2014 APPROXIMATE HOURS/MONTH: 2 HOURS DEVOTED DURING TRADING HOURS: 1
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 2011-03-14 |
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