JS
Julia M. Steele
VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 2345386
JS
Professional summary
Julia M Steele, who also goes by Julia M Dobson, Julia Marguerite Dobson, Julie Dobson, Julia M Dobson-lubinsky, Julia M Lubinsky, Julia Steele, Julie Steele, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Julia is registered as a RR (Registered Representative) and started their career in finance in 1993. Julia has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Julia M Dobson | Julia Marguerite Dobson | Julie Dobson | Julia M Dobson-Lubinsky | Julia M Lubinsky | Julia Steele | Julie Steele
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 NAME OF BUSINESS: NON-INVESTMENT/INVESTMENT RELATED: ADDRESS (City/State): NATURE OF BUSINESS: POSITION: START DATE (Month/Year): APPROXIMATE HOURS PER MONTH: NUMBER OF HOURS DURING TRADING HOURS: DUTIES:
CRS (Client Relationship Summary) - BD
Click below to view Julia M Steele's 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®
NoneExperience
Current
June 15, 2021 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
July 2, 2021 - December 31, 2024
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
MALVERN, PA
Past
October 11, 2016 - November 1, 2016
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
October 7, 2016 - November 1, 2016
SCOTTRADE, INC.
BD
CRD#: 8206
WAYNE, PA
Past
March 21, 2014 - July 15, 2016
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
CONSHOHOCKEN, PA
Past
February 22, 2014 - July 15, 2016
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
February 20, 2013 - June 11, 2013
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
WILMINGTON, DE
Past
January 2, 2013 - June 11, 2013
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
WILMINGTON, DE
Past
June 6, 2012 - January 8, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BALA CYNWYD, PA
Past
February 25, 2010 - April 28, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW CASTLE, DE
Past
October 15, 1993 - February 8, 2006
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/30/2025)
RR
Alaska(1/31/2025)
RR
Arizona(2/10/2025)
RR
Arkansas(1/31/2025)
RR
California(1/30/2025)
RR
Colorado(1/31/2025)
RR
Connecticut(1/31/2025)
RR
Delaware(1/31/2025)
RR
District of Columbia(2/5/2025)
RR
Florida(1/12/2024)
RR
Georgia(1/31/2025)
RR
Hawaii(1/31/2025)
RR
Idaho(1/30/2025)
RR
Illinois(2/4/2025)
RR
Indiana(2/5/2025)
RR
Iowa(1/31/2025)
RR
Kansas(1/30/2025)
RR
Kentucky(3/11/2025)
RR
Louisiana(1/30/2025)
RR
Maine(1/31/2025)
RR
Maryland(2/3/2025)
RR
Massachusetts(3/11/2025)
RR
Michigan(4/21/2025)
RR
Minnesota(1/31/2025)
RR
Mississippi(1/30/2025)
RR
Missouri(1/31/2025)
RR
Montana(1/31/2025)
RR
Nebraska(1/30/2025)
RR
Nevada(1/30/2025)
RR
New Hampshire(2/3/2025)
RR
New Jersey(1/30/2025)
RR
New Mexico(1/31/2025)
RR
New York(2/2/2025)
RR
North Carolina(3/20/2024)
RR
North Dakota(2/3/2025)
RR
Ohio(1/30/2025)
RR
Oklahoma(2/4/2025)
RR
Oregon(5/30/2025)
RR
Pennsylvania(7/2/2021)
RR
Rhode Island(1/31/2025)
RR
South Carolina(2/5/2025)
RR
South Dakota(1/31/2025)
RR
Tennessee(2/3/2025)
RR
Texas(1/31/2025)
RR
Utah(2/3/2025)
RR
Vermont(1/31/2025)
RR
Virginia(1/31/2025)
RR
Washington(1/30/2025)
RR
West Virginia(2/3/2025)
RR
Wisconsin(2/4/2025)
RR
Wyoming(1/31/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/15/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
