Best Investors Account Sign in

Sophal Pao

Vanguard Advisers, Inc.

Malvern, PA

Claim This Profile
Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2019-11-01
TX RA APPROVED 2019-11-01
  • PA RA
    APPROVED
    Since 2019-11-01
  • TX RA
    APPROVED
    Since 2019-11-01

Branch Locations

100 Vanguard Blvd, Malvern, PA 19355 • 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
Streamlight, Inc. Eagleville PA 11/2007 02/2018
Lasalle University Philadelphia PA 05/2016 07/2017
Axa Advisors,Llc New York NY 12/2017 01/2018
The Vanguard Group, Inc. Malvern PA 02/2018 Present
  • 11/2007 → 02/2018
    Streamlight, Inc.
    Eagleville, PA
  • 05/2016 → 07/2017
    Lasalle University
    Philadelphia, PA
  • 12/2017 → 01/2018
    Axa Advisors,Llc
    New York, NY
  • 02/2018 → Present
    The Vanguard Group, Inc.
    Malvern, PA
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 2019-10-15
S63 Uniform Securities Agent State Law Examination 2017-11-28
  • S66 Uniform Combined State Law Examination
    2019-10-15
  • S63 Uniform Securities Agent State Law Examination
    2017-11-28
Other Names
  • Paul Pao

View on SEC IAPD

Other Firms

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
STATE FARM INVESTMENT MANAGEMENT CORP.
MVO PRIVATE WEALTH, LLC
LPL FINANCIAL LLC
TRAYNOR CAPITAL MANAGEMENT
NORTHEAST ADVISERS, INC.
HARVEST FINANCIAL PARTNERS
VANGUARD ALTERNATIVE ASSETS ADVISER, LLC

Other Investors

MARK EDWARD MUELLER
ROBERT STACY FRIED
KELLY K PASTER
David Sung
Matthew Maskarinec
JARED IAN HARK
MICHAEL JOHN JORDAN
SIMON ANTOINE ARRATA

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · MALVERN, PA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · MALVERN, PA
STATE FARM INVESTMENT MANAGEMENT CORP. · Paoli, PA
MVO PRIVATE WEALTH, LLC · MALVERN, PA
LPL FINANCIAL LLC · Malvern, PA
TRAYNOR CAPITAL MANAGEMENT · MALVERN, PA
NORTHEAST ADVISERS, INC. · PAOLI, PA
HARVEST FINANCIAL PARTNERS · PAOLI, PA

More in Malvern, PA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor