Mark R. Lohrman

VANGUARD ADVISERS

Scottsdale, AZ 85260

Some features on this profile are disabled

CRD#: 1406432

Professional summary

Mark Richard Lohrman, CFP® is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Scottsdale, Arizona and VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 3, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Lohrman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

August 13, 2015 - Present

VANGUARD ADVISERS, INC.

Office #1: 14321 N. Northsight Boulevard, Scottsdale, AZ 85260

RIA

CRD#: 106715

Scottsdale, AZ

Current

August 12, 2015 - Present

VANGUARD MARKETING CORPORATION

Office #1: 14321 N Northsight Blvd, Scottsdale, AZ 85260

CRD#: 7452

SCOTTSDALE, AZ

Past

January 3, 2012 - August 17, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

July 10, 2007 - December 31, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

January 4, 2006 - December 31, 2006

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

January 4, 2006 - August 17, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

October 20, 2004 - December 20, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SCOTTSDALE, AZ

Past

October 20, 2004 - December 20, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

November 10, 2003 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

PHOENIX, AZ

Past

September 25, 2003 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

September 29, 2000 - October 2, 2003

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

December 12, 1996 - August 14, 2000

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

October 25, 1986 - January 14, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

January 21, 1986 - February 10, 1986

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Past

January 21, 1986 - October 3, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/27/2015)

IAR

Arizona
(8/27/2015)

IAR

Texas
(8/13/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/6/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/10/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/5/1996

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 3/3/1986

National Commodity Futures Examination

Principal/Supervisory Exam

Series 10

Date: 6/29/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/29/2007

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Vanguard Blvd, Malvern, PA 19355

Mailing Address

Phone number

(610) 669-1000

Established

Firm type

Fiscal year end

# of Employees

2,225

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VANGUARD MODEL PORTFOLIOS (2/2/2026)

VANGUARD PERSONAL ADVISOR SELECT (1/2/2026)

VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (1/2/2026)

VANGUARD SITUATIONAL ADVISOR BROCHURE (1/2/2026)

STABLE VALUE (9/29/2025)

VANGUARD MANAGED ACCOUNT PROGRAM AND PERSONAL ONLINE ADVISOR (9/29/2025)

Regulatory assets under management

Total Number of Accounts	698,843
AUM (Assets Under Management)	$ 300,434,933,763

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
10/23/2024	Cover Page	Report
06/28/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

Julie Danapilis

CETERA INVESTMENT SERVICES LLC

Phoenix, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark R. Lohrman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Lohrman's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

BANC ONE SECURITIES CORPORATION

VERAVEST INVESTMENTS, INC.

KIDDER, PEABODY & CO. INCORPORATED

PRINCIPAL SECURITIES, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/2003

Series 63

Date: 12/10/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/11/1998

Series 6

Date: 12/5/1996

Series 3

Date: 3/3/1986

Series 10

Date: 6/29/2007

Series 9

Date: 5/29/2007

FINRA

Current Firm

VANGUARD ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VANGUARD ADVISERS, INC.

TRUST BUT VERIFY

Similar Advisors