Robert M. Poggioli

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CRD#: 2196619

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.

Robert Mark Poggioli, who also goes by Mark Poggioli, Robert Poggioli, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark Poggioli | Robert Poggioli

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

October 27, 2020 - July 27, 2021

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Scottsdale, AZ

Past

October 9, 2020 - July 27, 2021

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

June 8, 2020 - June 18, 2020

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

Phoenix, AZ

Past

March 4, 2020 - June 8, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

August 21, 2018 - November 6, 2019

CITIZENS SECURITIES, INC.

CRD#: 39550

PHOENIX, AZ

Past

July 31, 2017 - November 14, 2017

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

June 25, 2008 - May 9, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

January 1, 2007 - May 9, 2008

STOCKCROSS FINANCIAL SERVICES, INC.

CRD#: 6670

SEATTLE, WA

Past

April 21, 2004 - January 1, 2007

TRADESTAR INVESTMENTS,INC.

CRD#: 14565

SEATTLE, WA

Past

November 24, 2003 - April 21, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

December 11, 1997 - June 15, 1999

TRADESTAR INVESTMENTS,INC.

CRD#: 14565

HOUSTON, TX

Past

November 11, 1996 - December 31, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 1, 1996 - October 16, 1996

KENNEDY, CABOT & CO.

CRD#: 2417

BEVERLY HILLS, CA

Past

January 9, 1992 - March 15, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/26/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/15/1992

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: 1/7/1992

General Securities Representative Examination

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)

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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

STABLE VALUE (9/29/2025)

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

VANGUARD SITUATIONAL ADVISOR BROCHURE (9/29/2025)

VANGUARD STRATEGIC MODEL PORTFOLIOS (9/29/2025)

VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (9/29/2025)

VANGUARD PERSONAL ADVISOR SELECT (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.

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Advisor Monitoring

Firm Stability Insights

Robert M. Poggioli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL ADVISORS, INC.

CITIZENS SECURITIES, INC.

VANGUARD MARKETING CORPORATION

CHARLES SCHWAB & CO., INC.

STOCKCROSS FINANCIAL SERVICES, INC.

TRADESTAR INVESTMENTS,INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

TRADESTAR INVESTMENTS,INC.

CHARLES SCHWAB & CO., INC.

KENNEDY, CABOT & CO.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/26/2020

Series 63

Date: 1/15/1992

SIE

Date: 10/1/2018

Series 7

Date: 1/7/1992

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

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