Nicholas A. Rupert
Professional summary
Nicholas Andrew Rupert, CFP®, who also goes by Nicholas A Rupert, Nic Rupert, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2006. Nicholas has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Andrew Rupert's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2013 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260October 1, 2019 - January 10, 2025
VANGUARD ADVISERS, INC.
January 3, 2011 - July 29, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 19, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 8, 2008 - March 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 5, 2006 - July 10, 2008
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/9/2013)
Exams
FINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
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
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