Geoffrey A. Hall
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.
Geoffrey Allan Hall, who also goes by Geoffrey A Hall, Geoffrey Hall, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1990. Geoffrey had worked at 7 firms and has passed the Series 63, Series 65, 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
January 12, 2017 - September 27, 2022
VANGUARD ADVISERS, INC.
January 6, 2017 - September 27, 2022
VANGUARD MARKETING CORPORATION
September 5, 2008 - May 1, 2015
FIDELITY BROKERAGE SERVICES LLC
November 15, 2006 - April 16, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 6, 2003 - February 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2003 - February 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 2000 - March 4, 2004
MERRILL LYNCH INVESTMENT MANAGERS LP
July 14, 1999 - February 27, 2004
FAM DISTRIBUTORS, INC.
August 21, 1990 - February 9, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
