Charles J. Thomas

VANGUARD MARKETING

Malvern, PA 19355

Some features on this profile are disabled

CRD#: 5422228

Professional summary

Charles James Thomas, who also goes by Chuck Thomas, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2008. Charles has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chuck Thomas

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles James Thomas'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

August 11, 2016 - Present

VANGUARD MARKETING CORPORATION

Office #1: 100 Vanguard Blvd, Malvern, PA 19355

CRD#: 7452

Malvern, PA

Past

September 10, 2008 - November 8, 2012

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Pennsylvania
(9/1/2016)

Exams

State Security Law Exam

Series 63

Date: 9/1/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/15/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VANGUARD MARKETING CORPORATION

VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION

CRD#: 7452 / SEC#: , 8-21570

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Vanguard Blvd, Malvern, PA 19355

Mailing Address

5951 Luckett Court Suite A1, El Paso, TX 79932-1882

Phone number

(610) 669-1000

Established

Pennsylvania since 04/21/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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	47
Arbitration	8

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Jeffrey Kropp

OSAIC WEALTH, INC.

IAR

Chadds Ford, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles J. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles James Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/11/2016

Series 24

Date: 11/15/2016

FINRA

Current Firm

VANGUARD MARKETING CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANGUARD MARKETING CORPORATION

TRUST BUT VERIFY

Similar Advisors