Carol A. Rose
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.
Carol Ann Rose, who also goes by Carol Ann Kippelman, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2000. Carol had worked at 12 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2016 - October 21, 2020
VANGUARD ADVISERS, INC.
August 22, 2013 - October 21, 2020
VANGUARD MARKETING CORPORATION
October 26, 2006 - August 28, 2013
CHARLES SCHWAB & CO., INC.
October 26, 2006 - August 28, 2013
CHARLES SCHWAB & CO., INC.
August 10, 2006 - October 6, 2006
WEDBUSH SECURITIES INC.
April 12, 2006 - October 6, 2006
WEDBUSH SECURITIES INC.
July 6, 2005 - April 12, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - April 12, 2006
CHASE INVESTMENT SERVICES CORP.
November 17, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
November 11, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 1, 2003 - September 24, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 4, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 13, 2000 - March 14, 2001
WELLS FARGO INVESTMENTS, LLC
July 25, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 9, 2000 - March 5, 2001
WELLS FARGO SECURITIES INC.
January 31, 2000 - July 19, 2000
UBS FINANCIAL SERVICES INC.
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.
