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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

CINDY Ann CARPENTER

Advisor at VANGUARD ADVISERS, INC.

Scottsdale, AZ

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Search this name across graphsid dfx:ria:d096d2bd-bb2d-e69e-4743-5fb84859eee4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2006 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: Jul 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 11, 2019
First registration: Jan 30, 2006
Dual registered: yes, broker-dealer
Other names: CINDY A RUSSELL|CINDY ANN RUSSELL|CINDY ANN CARPENTER|CINDY CARPENTER
IAPD individual key: 2711708

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	Mar 7, 2022	n/a	yes	Scottsdale, AZ	Current employment
MATSON MONEY, INC.	Mixed wealth	Jun 21, 2019	Feb 3, 2022	no	Scottsdale, AZ\|MASON, OH	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Nov 22, 2016	Feb 5, 2019	no	PHOENIX, AZ	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Sep 13, 2013	Oct 24, 2016	no	PHOENIX, AZ\|PHOENIX, AZ	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Jan 30, 2006	Mar 26, 2008	no	LONG BEACH, CA\|PHOENIX, AZ\|LONG BEACH, CA	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
MATSON MONEY, INC.	VANGUARD ADVISERS, INC.	Feb 3, 2022	Mar 7, 2022	32	Firm change	RIA to ibd
J.P. MORGAN SECURITIES LLC	MATSON MONEY, INC.	Feb 5, 2019	Jun 21, 2019	136	Firm change	Wirehouse to RIA
COMMONWEALTH FINANCIAL NETWORK	J.P. MORGAN SECURITIES LLC	Oct 24, 2016	Nov 22, 2016	29	Firm change	Ibd to wirehouse
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	COMMONWEALTH FINANCIAL NETWORK	Mar 26, 2008	Sep 13, 2013	1,997	Firm change after gap	Other

Relationships

Registered with (5)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Mar 7, 2022 to presentfactForm ADV
→ MATSON MONEY, INC.Registered adviserregistration: previous registration
Jun 21, 2019 to Feb 3, 2022factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Nov 22, 2016 to Feb 5, 2019factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Sep 13, 2013 to Oct 24, 2016factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Jan 30, 2006 to Mar 26, 2008factForm ADV

Dated events

Occurred
Feb 3, 2022
Advisor changed firm
Cindy Ann Carpenter left Matson Money, Inc. for Vanguard Advisers, Inc. (registered 2022-03-07)
Form ADVobserved 4 days ago