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Michael Anthony Mallette

Vanguard Advisers, Inc.

Charlotte, NC

CRD 6803915

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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
NC RA APPROVED 2021-05-21
TX RA APPROVED 2021-05-21
  • NC RA
    APPROVED
    Since 2021-05-21
  • TX RA
    APPROVED
    Since 2021-05-21

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Appalachian State University Boone NC 08/2013 05/2017
The Vanguard Group, Inc. Charlotte NC 06/2017 Present
  • 08/2013 → 05/2017
    Appalachian State University
    Boone, NC
  • 06/2017 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
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 2021-05-19
S63 Uniform Securities Agent State Law Examination 2017-07-14
  • S66 Uniform Combined State Law Examination
    2021-05-19
  • S63 Uniform Securities Agent State Law Examination
    2017-07-14
Other Names
  • Michael Mallette
  • Mike Mallette

View on SEC IAPD

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