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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 | 2026-02-11 |
| TX | RA | APPROVED | 2026-02-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 05/2017 | 01/2026 |
| Yum Brands, Taco Bell | Harrisburg | NC | 04/2014 | 11/2016 |
| The Vanguard Group, Inc. | Charlotte | NC | 01/2026 | Present |
| Vanguard Marketing Corporation | Charlotte | NC | 01/2026 | Present |
| Vanguard Advisers, Inc. | Charlotte | NC | 01/2026 | Present |
| University Of North Carolina At Charlotte | Charlotte | NC | 08/2020 | 05/2023 |
| Associate Staffing | Charlotte | NC | 02/2017 | 05/2017 |
| Self-Employed | Mooresville | NC | 06/2022 | Present |
NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: MOORESVILLE, NC NATURE OF BUSINESS: NC VARIABLE LIFE & VARIABLE ANNUITY PRODUCTS LICENSE POSITION: N/A START DATE: 03/2020 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: MOORESVILLE, NC NATURE OF BUSINESS: NC ACCIDENT & HEALTH OR SICKNESS INSURANCE LICENSE POSITION: N/A START DATE: 01/2020 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: MOORESVILLE, NC NATURE OF BUSINESS: NC LIFE INSURANCE LICENSE POSITION: N/A START DATE: 01/2020 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: SELF-EMPLOYED NON-INVESTMENT RELATED ADDRESS: MOORESVILLE, NC NATURE OF BUSINESS: NOTARY POSITION: NOTARY PUBLIC START DATE: 06/2022 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: NOTARY PUBLIC
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 2017-04-12 |
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