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Richard Andrew Baker

Vanguard Advisers, Inc.

Malvern, PA

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Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-02-04
NY RA APPROVED 2023-11-14
PA RA APPROVED 2021-07-01
TX RA APPROVED 2021-07-01
  • FL RA
    APPROVED
    Since 2024-02-04
  • NY RA
    APPROVED
    Since 2023-11-14
  • PA RA
    APPROVED
    Since 2021-07-01
  • TX RA
    APPROVED
    Since 2021-07-01

Branch Locations

100 Vanguard Blvd, Malvern, PA 19355 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Unemployed Lafeyette Hill PA 09/2016 02/2018
Penn Mutual Life Insurance Horsham PA 02/2018 02/2019
Hornor Townsend & Kent Inc Horsham PA 03/2018 02/2019
The Vanguard Group, Inc Malvern PA 05/2021 Present
Superio Brand Lafayette Hill PA 09/2019 03/2020
Unemployed Lafayette Hill PA 04/2020 04/2021
Unemployed Lafayette Hill PA 03/2019 08/2019
  • 09/2016 → 02/2018
    Unemployed
    Lafeyette Hill, PA
  • 02/2018 → 02/2019
    Penn Mutual Life Insurance
    Horsham, PA
  • 03/2018 → 02/2019
    Hornor Townsend & Kent Inc
    Horsham, PA
  • 05/2021 → Present
    The Vanguard Group, Inc
    Malvern, PA
  • 09/2019 → 03/2020
    Superio Brand
    Lafayette Hill, PA
  • 04/2020 → 04/2021
    Unemployed
    Lafayette Hill, PA
  • 03/2019 → 08/2019
    Unemployed
    Lafayette Hill, 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 2021-06-30
S63 Uniform Securities Agent State Law Examination 1986-09-29
  • S66 Uniform Combined State Law Examination
    2021-06-30
  • S63 Uniform Securities Agent State Law Examination
    1986-09-29

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