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Advisor at VANGUARD ADVISERS, INC.
Plano, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| VANGUARD ADVISERS, INC. | Bd affiliated wealth | Sep 9, 2021 | n/a | yes | Plano, TX | Current employment |
| CHARLES SCHWAB & CO., INC. | National bd RIA | May 23, 2020 | Aug 3, 2021 | no | Westlake, TX|Westlake, TX | Previous registration |
| USAA INVESTMENT SERVICES COMPANY | No RAUM reported | Jan 8, 2018 | May 24, 2020 | no | SAN ANTONIO, TX | Previous registration |
| USAA FINANCIAL PLANNING SERVICES | Former SEC adviser | Jun 30, 2014 | Jan 8, 2018 | no | ADDISON, TX | Previous registration |
| THRIVENT INVESTMENT MANAGEMENT INC. | Bd affiliated wealth | Jun 11, 2013 | Feb 11, 2014 | no | MONTVALE, NJ|RED BANK, NJ | Previous registration |
| HSBC SECURITIES (USA) INC. | Bd affiliated wealth | Aug 11, 2010 | Feb 5, 2013 | no | EDISON, NJ|WOODBRIDGE, NJ|JERSEY CITY, NJ|EAST BRUNSWICK, NJ | Previous registration |
| CHARLES SCHWAB & CO., INC. | National bd RIA | Sep 19, 2003 | May 17, 2010 | no | RED BANK, NJ|Red Bank, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CHARLES SCHWAB & CO., INC. | VANGUARD ADVISERS, INC. | Aug 3, 2021 | Sep 9, 2021 | 37 | Firm change | Ibd to ibd |
| USAA INVESTMENT SERVICES COMPANY | CHARLES SCHWAB & CO., INC. | May 24, 2020 | May 23, 2020 | -1 | Bulk transfer | Ibd to ibd |
| USAA FINANCIAL PLANNING SERVICES | USAA INVESTMENT SERVICES COMPANY | Jan 8, 2018 | Jan 8, 2018 | 0 | Bulk transfer | Other |
| THRIVENT INVESTMENT MANAGEMENT INC. | USAA FINANCIAL PLANNING SERVICES | Feb 11, 2014 | Jun 30, 2014 | 139 | Firm change | Other |
| HSBC SECURITIES (USA) INC. | THRIVENT INVESTMENT MANAGEMENT INC. | Feb 5, 2013 | Jun 11, 2013 | 126 | Firm change | Other |
| CHARLES SCHWAB & CO., INC. | HSBC SECURITIES (USA) INC. | May 17, 2010 | Aug 11, 2010 | 86 | Firm change | Other |