Nieda Washington
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.
Nieda Washington, who also goes by Nieda Shanay Mathis, Nieda Shanea Mathis, Nieda Mathis, Nieda Mathis-washington, Nieda Shanay Washington, Nieda Washington, was a registered financial professional .
Nieda is a previously registered financial professional and started their career in finance in 2005. Nieda had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2021 - February 26, 2026
VANGUARD ADVISERS, INC.
May 27, 2021 - February 26, 2026
VANGUARD MARKETING CORPORATION
October 10, 2018 - December 31, 2020
PFS INVESTMENTS INC.
October 10, 2018 - December 31, 2020
PFS INVESTMENTS INC.
May 27, 2016 - October 11, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 27, 2016 - October 11, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 10, 2012 - December 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 2012 - December 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 2008 - March 30, 2012
PNC WEALTH MANAGEMENT LLC
November 24, 2008 - March 30, 2012
PNC WEALTH MANAGEMENT LLC
April 21, 2006 - November 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 2006 - November 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2005 - March 17, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
June 16, 2005 - March 17, 2006
IDS LIFE INSURANCE COMPANY
June 16, 2005 - March 17, 2006
AMERIPRISE FINANCIAL SERVICES, 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.
