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100 Vanguard Blvd, Malvern, PA 19355 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-03-21 |
| NV | RA | APPROVED | 2024-02-01 |
| OH | RA | APPROVED | 2023-08-29 |
| OK | RA | APPROVED | 2023-08-28 |
| AZ | RA | APPROVED | 2019-11-05 |
| TX | RA | APPROVED | 2019-11-01 |
Branch Locations
14321 N Northsight Blvd, Scottsdale, AZ 85260 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 04/2017 | Present |
| Emg Corporation | Scottsdale | AZ | 07/2016 | 03/2017 |
| Self-Employed | Phoenix | AZ | 04/2021 | 07/2022 |
| Self-Employed | Phoenix | AZ | 10/2023 | Present |
| Vanguard Marketing Corporation | Scottsdale | AZ | 04/2017 | Present |
| Vanguard Advisers, Inc. | Scottsdale | AZ | 11/2019 | Present |
NAME OF BUSINESS: AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: PHOENIX, AZ NATURE OF BUSINESS: FIDUCIARY POSITION: AGENT START DATE: 03/2021 APPROXIMATE HOURS/MONTH: 2 HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: FIDUCIARY NAME OF BUSINESS: SELF-EMPLOYED NON-INVESTMENT-RELATED ADDRESS PHOENIX, AZ NATURE OF BUSINESS: E-COMMERCE POSITION: SELLER/OWNER START DATE: 10/2023 APPROXIMATE HOURS/MONTH:1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SELLING ITEMS ONLINE
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 2017-05-17 |
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