Raaj A. Gupta

VANGUARD ADVISERS

CHARLOTTE, NC 28262

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CRD#: 5244407

Professional summary

Raaj Arvind Gupta, who also goes by Raaj Arvind Gupta, Raaj Gupta, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.

Raaj is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Raaj has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Raaj Arvind Gupta | Raaj Gupta

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 NAME OF BUSINESS: ALPHA SIGHTS INVESTMENT RELATED ADDRESS (City/State): NEW YORK, NEW YORK NATURE OF BUSINESS: CONSULTING POSITION: SURVEY PARTICPANT / CONSULTANT START DATE (Month/Year): 012023 APPROXIMATE HOURS PER MONTH: 1 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: ANSWER SURVEYS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raaj Arvind Gupta's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 7, 2022 - Present

VANGUARD ADVISERS, INC.

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262

RIA

CRD#: 106715

CHARLOTTE, NC

Current

April 7, 2022 - Present

VANGUARD MARKETING CORPORATION

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262

CRD#: 7452

CHARLOTTE, NC

Past

January 29, 2009 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

CINCINNATI, OH

Past

January 29, 2009 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

CINCINNATI, OH

Past

January 29, 2009 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

CINCINNATI, OH

Past

June 2, 2008 - July 30, 2008

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

CRANBERRY, PA

Past

June 2, 2008 - July 30, 2008

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

CRANBERRY, PA

Past

February 16, 2007 - May 8, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PITTSBURGH, PA

Past

January 24, 2007 - May 8, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PITTSBURGH, PA

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".

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.

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

Georgia
(2/6/2024)

North Carolina
(4/7/2022)

IAR

North Carolina
(4/11/2022)

Ohio
(4/8/2022)

IAR

Texas
(4/7/2022)

Utah
(4/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/15/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STABLE VALUE (9/29/2025)

VANGUARD MANAGED ACCOUNT PROGRAM AND PERSONAL ONLINE ADVISOR (9/29/2025)

VANGUARD SITUATIONAL ADVISOR BROCHURE (9/29/2025)

VANGUARD STRATEGIC MODEL PORTFOLIOS (9/29/2025)

VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (9/29/2025)

VANGUARD PERSONAL ADVISOR SELECT (9/29/2025)

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	Cover Page	Report
10/23/2024	Cover Page	Report
06/28/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Raaj A. Gupta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raaj Arvind Gupta's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/15/2007

SIE

Date: 10/1/2018

Series 7

Date: 1/23/2007

Series 24

Date: 8/4/2014

FINRA

Current Firm

VANGUARD ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VANGUARD ADVISERS, INC.

TRUST BUT VERIFY

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