David A. Rippy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Anthony Rippy, who also goes by Dave Rippy, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 1999 - December 12, 2002
VANGUARD ADVISERS, INC.
September 18, 1998 - January 3, 2013
VANGUARD MARKETING CORPORATION
October 9, 1995 - August 27, 1998
FIRST UNION CAPITAL MARKETS CORP.
January 29, 1992 - September 8, 1995
OPPENHEIMER & CO. INC.
October 12, 1990 - December 31, 1991
W.H. NEWBOLD'S SON & CO., INC.
August 18, 1987 - October 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 1987 - August 25, 1987
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
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 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
