SP
Susan A. Puglisi
VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 4024590
SP
Professional summary
Susan Ann Puglisi, who also goes by Sue Puglisi, Susan A Puglisi, Susan Puglisi, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Susan is registered as a RR (Registered Representative) and started their career in finance in 2007. Susan has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sue Puglisi | Susan A Puglisi | Susan Puglisi
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.
CRS (Client Relationship Summary) - BD
Click below to view Susan Ann Puglisi'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
October 14, 2025 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
November 7, 2023 - December 20, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CONSHOHOCKEN, PA
Past
November 7, 2023 - December 20, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CONSHOHOCKEN, PA
Past
November 17, 2014 - May 10, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CONSHOHOCKEN, PA
Past
November 17, 2014 - May 10, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CONSHOHOCKEN, PA
Past
June 1, 2009 - November 13, 2014
MORGAN STANLEY
RIA
CRD#: 149777
WEST CONSHOHOCKEN, PA
Past
June 1, 2009 - November 13, 2014
MORGAN STANLEY
BD
CRD#: 149777
WEST CONSHOHOCKEN, PA
Past
April 18, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BLUE BELL, PA
Past
June 12, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BLUE BELL, 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(10/14/2025)
RR
Alaska(10/14/2025)
RR
Arizona(10/14/2025)
RR
Arkansas(10/14/2025)
RR
California(10/14/2025)
RR
Colorado(10/14/2025)
RR
Connecticut(10/14/2025)
RR
Delaware(10/14/2025)
RR
District of Columbia(10/14/2025)
RR
Florida(10/14/2025)
RR
Georgia(10/14/2025)
RR
Hawaii(10/14/2025)
RR
Idaho(10/14/2025)
RR
Illinois(10/14/2025)
RR
Indiana(10/14/2025)
RR
Iowa(10/14/2025)
RR
Kansas(10/14/2025)
RR
Kentucky(10/14/2025)
RR
Louisiana(10/14/2025)
RR
Maine(10/14/2025)
RR
Maryland(10/14/2025)
RR
Massachusetts(10/14/2025)
RR
Michigan(10/14/2025)
RR
Minnesota(10/14/2025)
RR
Mississippi(10/14/2025)
RR
Missouri(10/14/2025)
RR
Montana(10/14/2025)
RR
Nebraska(10/14/2025)
RR
Nevada(10/14/2025)
RR
New Hampshire(10/14/2025)
RR
New Jersey(10/14/2025)
RR
New Mexico(10/14/2025)
RR
New York(10/14/2025)
RR
North Carolina(10/14/2025)
RR
North Dakota(10/14/2025)
RR
Ohio(10/14/2025)
RR
Oklahoma(10/14/2025)
RR
Oregon(10/14/2025)
RR
Pennsylvania(10/14/2025)
RR
Puerto Rico(10/14/2025)
RR
Rhode Island(10/14/2025)
RR
South Carolina(10/14/2025)
RR
South Dakota(10/14/2025)
RR
Tennessee(10/14/2025)
RR
Texas(10/14/2025)
RR
Utah(10/14/2025)
RR
Vermont(10/14/2025)
RR
Virgin Islands(10/14/2025)
RR
Virginia(10/14/2025)
RR
Washington(10/14/2025)
RR
West Virginia(10/14/2025)
RR
Wisconsin(10/14/2025)
RR
Wyoming(10/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
