TA
Tracy G. Auerbach
VANGUARD ADVISERS
MALVERN, PA 19355
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CRD#: 5753376
TA
Professional summary
Tracy Gelber Auerbach, who also goes by Tracy Auerbach, Tracy Leigh Gelber, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Malvern, Pennsylvania and VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Tracy has worked at 3 firms and has passed the Series 66, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracy Auerbach | Tracy Leigh Gelber
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.
NAME OF BUSINESS: NTH ROUND INVESTMENT RELATED ADDRESS: PHILADELPHIA, PA NATURE OF BUSINESS: CREATE AND PROVIDE SOFTWARE TOOLS OF CFO'S OF PRIVATE COMPANIES WITH MANAGING EQUITY AND INTERFACING WITH INVESTORS. POSITION: MINORITY SHAREHOLDER (0.57%). NAMED AS INVENTOR ON TWO PATENT APPLICATIONS HELD BY NTH ROUND. START DATE: 06/2018 APPROXIMATE HOURS PER MONTH: 0 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: NONE NAME OF BUSINESS: FULL AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: HAVERFORD, PA NATURE OF BUSINESS: FIDUCIARY POSITION: FULL AGENT START DATE: 10/2025 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ACT AS FULL AGENT
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Gelber Auerbach's 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®
NoneExperience
Current
March 29, 2022 - Present
VANGUARD ADVISERS, INC.
Office #1: 100 Vanguard Blvd, Malvern, PA 19355RIA
CRD#: 106715
MALVERN, PA
Current
February 28, 2022 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
April 29, 2010 - November 29, 2018
ADONDO CAPITAL
RIA
CRD#: 152672
WAYNE, 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".
VA
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.RR
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
RR
California(9/28/2023)
IAR
California(9/28/2023)
RR
New Jersey(7/24/2023)
IAR
New Jersey(7/24/2023)
RR
New York(10/6/2023)
IAR
New York(10/6/2023)
RR
Pennsylvania(3/29/2022)
IAR
Pennsylvania(3/29/2022)
IAR
Texas(3/29/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/28/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
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
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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
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.
