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Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2021-04-05
TX RA APPROVED_RES 2021-03-29
  • AZ RA
    APPROVED
    Since 2021-04-05
  • TX RA
    APPROVED_RES
    Since 2021-03-29

Branch Locations

14321 N Northsight Blvd, Scottsdale, AZ 85260 • 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
Randstad Atlanta GA 10/2016 03/2017
Randstad Atlanta GA 03/2017 08/2017
Unemployed Tempe AZ 07/2016 10/2016
The Vanguard Group, Inc. Scottsdale AZ 08/2017 Present
  • 10/2016 → 03/2017
    Randstad
    Atlanta, GA
  • 03/2017 → 08/2017
    Randstad
    Atlanta, GA
  • 07/2016 → 10/2016
    Unemployed
    Tempe, AZ
  • 08/2017 → Present
    The Vanguard Group, Inc.
    Scottsdale, AZ
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 2021-03-23
S63 Uniform Securities Agent State Law Examination 2017-05-30
  • S66 Uniform Combined State Law Examination
    2021-03-23
  • S63 Uniform Securities Agent State Law Examination
    2017-05-30
Other Names
  • Michael Casey

View on SEC IAPD

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