Stephen N. Cudjoe
Professional summary
Stephen Nigel Cudjoe, who also goes by Stephen N Cudjoe, Stephen Cudjoe, Stephen Nigel Nigel Cudjoe, Steve Cudjoe, Stephen Moore, Steve Moore, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Malvern, Pennsylvania and VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 9 firms and has passed the Series 66, Series 63, Series 57TO, Series 3, SIE, Series 55, Series 7, Series 4, Series 10, Series 9 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Nigel Cudjoe's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 2026 - Present
VANGUARD ADVISERS, INC.
Office #1: 100 Vanguard Blvd, Malvern, PA 19355June 8, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355February 6, 2014 - December 23, 2025
UBS SECURITIES LLC
January 4, 2010 - February 3, 2014
PUMA CAPITAL, LLC
April 20, 2009 - December 16, 2009
THE VERTICAL GROUP
December 10, 2008 - April 14, 2009
HUDSON SECURITIES,INC.
April 26, 2005 - November 19, 2008
UBS SECURITIES LLC
June 9, 2000 - February 15, 2006
UBS CAPITAL MARKETS L.P.
May 28, 1999 - May 31, 2000
FIRST SECURITY INVESTMENTS, INC.
May 7, 1999 - June 15, 1999
MILLENNIUM SECURITIES CORP.
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
(6/9/2026)
(7/8/2026)
(6/10/2026)
(7/10/2026)
(7/8/2026)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamFINRA
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.
