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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Calvin Lee Thompson

Advisor at VANGUARD ADVISERS, INC.

MALVERN, PA

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Search this name across graphsid dfx:ria:44ecec2c-8dcf-143d-619d-8a50a6b0a720

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 23, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VANGUARD ADVISERS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 3, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 3, 2000
First registration: May 23, 2003
Dual registered: yes, broker-dealer
Other names: Calvin L Thompson|CALVIN THOMPSON
IAPD individual key: 4116466

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VANGUARD ADVISERS, INC.	Bd affiliated wealth	May 7, 2025	n/a	yes	MALVERN, PA	Current employment
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jul 31, 2012	Jan 31, 2025	no	Philadelphia, PA\|Downingtown, PA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jan 1, 2004	May 30, 2012	no	PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA	Previous registration
J.J.B. HILLIARD, W.L. LYONS, LLC	Former SEC adviser	May 23, 2003	Jan 1, 2004	no	PITTSBURGH, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVICE AND PLANNING SERVICES	VANGUARD ADVISERS, INC.	Jan 31, 2025	May 7, 2025	96	Firm change	Ibd to ibd
PNC WEALTH MANAGEMENT	ADVICE AND PLANNING SERVICES	May 30, 2012	Jul 31, 2012	62	Firm change	Other
J.J.B. HILLIARD, W.L. LYONS, LLC	PNC WEALTH MANAGEMENT	Jan 1, 2004	Jan 1, 2004	0	Bulk transfer	Other

Relationships

Registered with (4)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
May 7, 2025 to presentfactForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Jul 31, 2012 to Jan 31, 2025factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 1, 2004 to May 30, 2012factForm ADV
→ J.J.B. HILLIARD, W.L. LYONS, LLCRegistered adviserregistration: previous registration
May 23, 2003 to Jan 1, 2004factForm ADV

Dated events

Occurred
Jan 31, 2025
Advisor changed firm
Calvin Lee Thompson left Advice And Planning Services for Vanguard Advisers, Inc. (registered 2025-05-07)
Form ADVobserved 4 days ago