Katrina J. Spinato

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CRD#: 5650118

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.

Katrina Jan Spinato, who also goes by Katrina J Forgacic, Katrina Jan Forgacic, Katrina J Spinato, Katrina Spinato, was a registered financial professional .

Katrina is a previously registered financial professional and started their career in finance in 2009. Katrina had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Katrina J Forgacic | Katrina Jan Forgacic | Katrina J Spinato | Katrina Spinato

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: Door Dash NON-INVESTMENT ADDRESS: Gibbsboro, NJ NATURE OF BUSINESS: Driver POSITION: Driver/Chauffer START DATE (Month/Year): 04/2021 APPROXIMATE HOURS PER MONTH: 25 NUMBER OF HOURS DURING TRADING HOURS:0 DUTIES: Deliver food to customers on weekends NAME OF BUSINESS: Norwex NON-INVESTMENT ADDRESS: Dallas, TX NATURE OF BUSINESS: Sales POSITION: Sales Associate START DATE (Month/Year): 04/2023 APPROXIMATE HOURS PER MONTH: 10 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: Sell products from catalog

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 5, 2021 - December 31, 2024

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Plano, TX

Past

May 5, 2021 - June 3, 2025

VANGUARD MARKETING CORPORATION

CRD#: 7452

Plano, TX

Past

February 11, 2021 - April 6, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

NEW YORK, NY

Past

January 29, 2021 - April 6, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

NEW YORK, NY

Past

October 3, 2020 - December 11, 2020

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

January 15, 2020 - July 24, 2020

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

MARLTON, NJ

Past

January 15, 2020 - July 24, 2020

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

MARLTON, NJ

Past

July 13, 2018 - January 13, 2020

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

June 8, 2015 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

PHILADELPHIA, PA

Past

May 28, 2015 - January 3, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

PHILADELPHIA, PA

Past

April 7, 2014 - May 14, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

PHILADELPHIA, PA

Past

January 27, 2014 - May 14, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

PHILADELPHIA, PA

Past

May 29, 2009 - January 13, 2014

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/7/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/2009

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: 5/28/2009

General Securities Representative Examination

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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Katrina J. Spinato

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NYLIFE SECURITIES LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/7/2014

Series 63

Date: 6/26/2009

SIE

Date: 10/1/2018

Series 7

Date: 5/28/2009

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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