CT
Calvin L. Thompson
VANGUARD ADVISERS
MALVERN, PA 19355
Some features on this profile are disabled
CRD#: 4116466
CT
Professional summary
Calvin Lee Thompson, who also goes by Calvin Thompson, Calvin L Thompson, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Malvern, Pennsylvania and VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Calvin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Calvin has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Calvin Thompson | Calvin L Thompson
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
CRS (Client Relationship Summary) - RIA
Click below to view Calvin Lee Thompson'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
May 7, 2025 - Present
VANGUARD ADVISERS, INC.
Office #1: 100 Vanguard Blvd, Malvern, PA 19355RIA
CRD#: 106715
MALVERN, PA
Current
May 7, 2025 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
July 31, 2012 - January 31, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
Philadelphia, PA
Past
July 31, 2012 - January 31, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
Philadelphia, PA
Past
January 1, 2004 - May 30, 2012
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
PHILADELPHIA, PA
Past
January 1, 2004 - May 30, 2012
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PHILADELPHIA, PA
Past
May 23, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
PITTSBURGH, PA
Past
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
May 1, 2001 - June 1, 2002
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
February 7, 2000 - October 11, 2000
E-INVEST, INC.
BD
CRD#: 18298
SAN FRANCISCO, CA
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".
VA
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.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(5/8/2025)
RR
Alaska(5/8/2025)
RR
Arizona(5/8/2025)
RR
Arkansas(5/8/2025)
RR
California(5/8/2025)
RR
Colorado(5/8/2025)
RR
Connecticut(5/8/2025)
RR
Delaware(5/8/2025)
RR
District of Columbia(5/8/2025)
RR
Florida(5/8/2025)
RR
Georgia(5/8/2025)
RR
Hawaii(5/8/2025)
RR
Idaho(5/8/2025)
RR
Illinois(5/8/2025)
RR
Indiana(5/8/2025)
RR
Iowa(5/8/2025)
RR
Kansas(5/8/2025)
RR
Kentucky(5/8/2025)
RR
Louisiana(5/8/2025)
RR
Maine(5/8/2025)
RR
Maryland(5/8/2025)
RR
Massachusetts(5/8/2025)
RR
Michigan(5/8/2025)
RR
Minnesota(5/8/2025)
RR
Mississippi(5/8/2025)
RR
Missouri(5/8/2025)
RR
Montana(5/8/2025)
RR
Nebraska(5/8/2025)
RR
Nevada(5/8/2025)
RR
New Hampshire(5/8/2025)
RR
New Jersey(5/8/2025)
RR
New Mexico(5/8/2025)
RR
New York(5/8/2025)
RR
North Carolina(5/8/2025)
RR
North Dakota(5/8/2025)
RR
Ohio(5/8/2025)
RR
Oklahoma(5/8/2025)
RR
Oregon(5/8/2025)
RR
Pennsylvania(5/7/2025)
IAR
Pennsylvania(5/7/2025)
RR
Puerto Rico(5/8/2025)
RR
Rhode Island(5/8/2025)
RR
South Carolina(5/8/2025)
RR
South Dakota(5/8/2025)
RR
Tennessee(5/8/2025)
RR
Texas(5/8/2025)
IAR
Texas(5/8/2025)
RR
Utah(5/8/2025)
RR
Vermont(5/8/2025)
RR
Virgin Islands(5/8/2025)
RR
Virginia(5/8/2025)
RR
Washington(5/8/2025)
RR
West Virginia(5/8/2025)
RR
Wisconsin(5/8/2025)
RR
Wyoming(5/8/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
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)Upgrade to AdvisorCheck Premium
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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
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.
