Rick Marvin Cruz

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2018 → 09/2019
  Tiaa-Cref Individual & Institutional Services, Llc
  Charlotte, NC
• 03/2018 → 09/2019
  Tiaa
  Charlotte, NC
• 03/2015 → 03/2018
  Wells Fargo
  Charlotte, NC
• 08/2017 → 11/2017
  Liberty National Life/Torchmark Corp
  Charlotte, NC
• 09/2021 → 02/2022
  Primerica Financial Services
  Cornelius, NC
• 09/2021 → 02/2022
  Pfs Investments Inc.
  Cornelius, NC
• 03/2018 → Present
  Costello Real Estate & Investments
  Charlotte, NC
• 07/2020 → Present
  Century 21 Maselle & Associates
  Flowood, MS
• 02/2022 → Present
  The Vanguard Group, Inc.
  Charlotte, NC
• 11/2021 → Present
  Rick Cruz Llc
  Brandon, MS
• 02/2007 → Present
  Biltmore Records, Inc.
  Charlotte, NC
• 12/2018 → 03/2020
  Purdue University
  Fort Mill, SC

Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: COSTELLO REAL ESTATE & INVESTMENTS NON-INVESTMENT RELATED ADDRESS: TEGA CAY, SC NATURE OF BUSINESS: REAL ESTATE POSITION: REAL ESTATE AGENT START DATE: 03/2018 APPROX. HOURS/MONTH: 5 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COMMERCIAL AND RESIDENTIAL SALES NAME OF BUSINESS: BILTMORE RECORDS, INC. NON-INVESTMENT RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: MUSIC RECORDING POSITION: OWNER START DATE: 02/2007 APPROX. HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OWNER NAME OF BUSINESS: RICK CRUZ LLC NON-INVESTMENT RELATED ADDRESS: BRANDON, MS NATURE OF BUSINESS: REAL ESTATE POSITION: OWNER START DATE: 11/2021 APPROX. HOURS/MONTH: 2 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COMMERCIAL AND RESIDENTIAL SALES NAME OF BUSINESS: CENTURY 21 MASELLE & ASSOCIATES NON-INVESTMENT RELATED ADDRESS: FLOWOOD, MS NATURE OF BUSINESS: REAL ESTATE POSITION: REAL ESTATE AGENT START DATE: 07/2020 APPROX. HOURS/MONTH: 4 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COMMERCIAL AND RESIDENTIAL SALES NAME OF BUSINESS: THE RIVER WELLNESS LLC NON-INVESTMENT RELATED ADDRESS: FLOWOOD, MS NATURE OF BUSINESS: COUNSELING SERVICES POSITION: OWNER START DATE: 07/2019 APPROX. HOURS/MONTH: 2 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ADVISE BUSINESS MANAGEMENT

Exams

• S66 Uniform Combined State Law Examination
  2022-05-27
• S63 Uniform Securities Agent State Law Examination
  2018-04-30

Other Names

• Rick Cruz
• Rick M Cruz
• Rick Marvin Cruz