Marlon A. Richards
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.
Marlon Anthony Richards, who also goes by Marlon A Richards, Marlon Richards, was a registered financial professional .
Marlon is a previously registered financial professional and started their career in finance in 2003. Marlon had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2019 - June 25, 2020
VANGUARD ADVISERS, INC.
June 14, 2018 - July 11, 2025
VANGUARD MARKETING CORPORATION
July 22, 2013 - April 30, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2013 - April 30, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 2006 - February 19, 2009
VOYA RETIREMENT ADVISORS, LLC
October 13, 2004 - October 28, 2005
MML INVESTORS SERVICES, LLC
June 30, 2003 - August 12, 2004
NYLIFE SECURITIES LLC
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.
