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Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2021-12-09
TX RA APPROVED 2021-12-08
  • PA RA
    APPROVED
    Since 2021-12-09
  • TX RA
    APPROVED
    Since 2021-12-08

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
Arvest Wealth Management Tulsa OK 06/2015 08/2017
Happy State Bank Amarillo TX 11/2017 08/2020
Valic Financial Advisors, Inc. Plano TX 10/2020 11/2021
The Vanguard Group, Inc. Malvern PA 11/2021 05/2022
The Vanguard Group, Inc. Plano TX 05/2022 07/2023
The Vanguard Group, Inc. Malvern PA 07/2023 Present
  • 06/2015 → 08/2017
    Tulsa, OK
  • 11/2017 → 08/2020
    Happy State Bank
    Amarillo, TX
  • 10/2020 → 11/2021
    Plano, TX
  • 11/2021 → 05/2022
    The Vanguard Group, Inc.
    Malvern, PA
  • 05/2022 → 07/2023
    The Vanguard Group, Inc.
    Plano, TX
  • 07/2023 → Present
    The Vanguard Group, Inc.
    Malvern, PA
Previous Registrations
  • 2020-10-26 → 2021-11-24
    Addison, TX
  • 2017-12-18 → 2020-09-15
    Amarillo, TX
  • 2014-09-22 → 2017-09-06
    Tulsa, OK
    Lowell, AR
  • 1999-02-09 → 2014-09-19
    Tulsa, OK
    Tulsa, OK
    Oklahoma City, OK
    Overland Park, KS
    Englewood, CO
    Richardson, TX
    Tulsa, OK
    Albuquerque, NM
    Albuquerque, NM
    Rio Rancho, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Belen, NM
    Los Lunas, NM
    Albuquerque, NM
    Santa Fe, NM
    Denver, CO
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Rio Rancho, NM
    Albuquerque, NM
    Tulsa, OK
    Scottsdale, AZ
    Tulsa, OK
    Scottsdale, AZ
    Tulsa, OK
    Bartlesville, OK
    Tulsa, OK
    Tulsa, OK
    Tulsa, OK
    Oklahoma City, OK
    Sugar Land, TX
    Oklahoma City, OK
    Houston, TX
    Muskogee, OK
    Plano, TX
    Houston, TX
    Dallas, TX
    Owasso, OK
    Tulsa, OK
    Bixby, OK
    Fort Worth, TX
    Tulsa, OK
    Tulsa, OK
    Muskogee, OK
    Muskogee, OK
    Eufaula, OK
    Grove, OK
    Mcalester, OK
Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-13
S63 Uniform Securities Agent State Law Examination 1987-11-02
  • S65 Uniform Investment Adviser Law Examination
    1997-05-13
  • S63 Uniform Securities Agent State Law Examination
    1987-11-02
Other Names
  • L. Brad Griffin
  • Larry Brad Griffin
  • Larry Griffin

View on SEC IAPD

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