Nancy B. Philleo
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.
Nancy Brazelton Philleo, who also goes by Nancy Ann Brazelton, Nancy Ann Philleo, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1989. Nancy had worked at 6 firms and has passed the Series 65, Series 63, SIE 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, 1998 - October 30, 2006
VANGUARD ADVISERS, INC.
July 9, 1996 - January 5, 2017
VANGUARD MARKETING CORPORATION
January 4, 1995 - December 16, 1995
KEOGLER, MORGAN & COMPANY, INC.
April 28, 1989 - January 8, 1993
MORGAN STANLEY DW INC.
February 22, 1989 - April 11, 1989
IDS LIFE INSURANCE COMPANY
February 22, 1989 - April 11, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
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.
