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Brandon Douglas Booker

Vanguard Advisers, Inc.

Scottsdale, AZ

CRD 6757636

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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
AZ RA APPROVED 2021-02-19
TX RA APPROVED_RES 2021-02-18
  • AZ RA
    APPROVED
    Since 2021-02-19
  • TX RA
    APPROVED_RES
    Since 2021-02-18

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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Ameritrade Omaha NE 02/2017 03/2017
Advance Services Inc/Omaha Steaks Omaha NE 01/2017 02/2017
Express Employment Professionals/Omaha Steaks Omaha NE 12/2016 01/2017
Umb Bank, N.A. Omaha NE 06/2016 12/2016
Fedex Office Omaha NE 04/2014 10/2016
Securities America, Inc. La Vista NE 06/2017 10/2019
Advance Services Inc/Omaha Steaks Omaha NE 04/2017 05/2017
Charles Schwab & Co., Inc. Phoenix AZ 11/2019 08/2020
The Vanguard Group, Inc. Scottsdale AZ 01/2021 Present
Unemployed Phoenix AZ 09/2020 12/2020
Vanguard Marketing Corporation Scottsdale AZ 01/2021 Present
Vanguard Advisers, Inc. Scottsdale AZ 01/2021 Present
  • 02/2017 → 03/2017
    Td Ameritrade
    Omaha, NE
  • 01/2017 → 02/2017
    Advance Services Inc/Omaha Steaks
    Omaha, NE
  • 12/2016 → 01/2017
    Express Employment Professionals/Omaha Steaks
    Omaha, NE
  • 06/2016 → 12/2016
    Umb Bank, N.A.
    Omaha, NE
  • 04/2014 → 10/2016
    Fedex Office
    Omaha, NE
  • 06/2017 → 10/2019
    Securities America, Inc.
    La Vista, NE
  • 04/2017 → 05/2017
    Advance Services Inc/Omaha Steaks
    Omaha, NE
  • 11/2019 → 08/2020
    Phoenix, AZ
  • 01/2021 → Present
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 09/2020 → 12/2020
    Unemployed
    Phoenix, AZ
  • 01/2021 → Present
    Vanguard Marketing Corporation
    Scottsdale, AZ
  • 01/2021 → Present
    Scottsdale, AZ
Previous Registrations
  • 2019-12-23 → 2020-09-15
    Phoenix, AZ
  • 2019-01-03 → 2019-10-07
    Securities America Advisors, Inc.
    La Vista, NE
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-13
  • S66 Uniform Combined State Law Examination
    2018-12-13
Other Names
  • Brandon Douglas Booker
  • Brandon D Booker
  • Brandon Booker

View on SEC IAPD

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