Brian D. Applestein

VANGUARD ADVISERS

Malvern, PA 19355

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CRD#: 2260097

Professional summary

Brian Douglas Applestein, CFP® is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Malvern, Pennsylvania and VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 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.

Employee of The Vanguard Group, Inc. (parent company of Vanguard Marketing Corporation) 100 Vanguard Blvd., Malvern, PA 19355.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Douglas Applestein'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 2, 2018 - Present

VANGUARD ADVISERS, INC.

Office #1: 100 Vanguard Blvd, Malvern, PA 19355

RIA

CRD#: 106715

Malvern, PA

Current

January 4, 2017 - Present

VANGUARD MARKETING CORPORATION

Office #1: 100 Vanguard Blvd, Malvern, PA 19355

CRD#: 7452

Malvern, PA

Past

March 27, 2013 - August 7, 2015

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

MALVERN, PA

Past

September 20, 2010 - August 7, 2015

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

March 5, 2009 - December 31, 2010

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

WILMINGTON, DE

Past

October 31, 2008 - November 25, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

BALA CYNWYD, PA

Past

October 20, 2008 - November 25, 2008

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

BALA CYNWYD, PA

Past

June 6, 2008 - October 1, 2008

TRINITY WEALTH PARTNERS, LLC

RIA

CRD#: 146917

WYNNEWOOD, PA

Past

October 8, 2002 - December 31, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PHILADELPHIA, PA

Past

August 28, 2002 - December 31, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 19, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

July 19, 1999 - August 31, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

April 12, 1996 - August 19, 1997

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

October 29, 1992 - July 1, 1994

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

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

Pennsylvania
(1/5/2017)

IAR

Pennsylvania
(8/3/2018)

IAR

Texas
(8/2/2018)

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 66

Date: 11/17/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/17/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1992

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: 10/30/2008

General Securities Representative 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)

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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

Brian D. Applestein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Douglas Applestein's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

REALTA INVESTMENT ADVISORS, INC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

TRINITY WEALTH PARTNERS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

SALOMON BROTHERS INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/17/2008

Series 65

Date: 8/17/2002

Series 63

Date: 10/9/1992

SIE

Date: 10/1/2018

Series 7

Date: 10/30/2008

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

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