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LA

Lauren N. Anastasio

VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 5785967
LA

Professional summary

Lauren Nicole Anastasio, CFP®, who also goes by Lauren N Anastasio, Lauren Nicole Anastasio, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.

Lauren is registered as a RR (Registered Representative) and started their career in finance in 2010. Lauren has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lauren N Anastasio | Lauren Nicole Anastasio

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

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lauren Nicole Anastasio'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®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

February 27, 2023 - Present

VANGUARD MARKETING CORPORATION

Office #1: 100 Vanguard Blvd, Malvern, PA 19355
BD
CRD#: 7452
Malvern, PA
Past

February 27, 2023 - March 27, 2025

VANGUARD ADVISERS, INC.

RIA
CRD#: 106715
MALVERN, PA
Past

December 14, 2021 - December 21, 2022

STASH CAPITAL LLC

BD
CRD#: 287728
NEW YORK, NY
Past

July 31, 2018 - October 19, 2021

SOFI WEALTH LLC

RIA
CRD#: 167958
Claymont, DE
Past

May 24, 2018 - October 19, 2021

SOFI SECURITIES LLC

BD
CRD#: 151717
Claymont, DE
Past

June 29, 2010 - August 3, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
WASHINGTON, DC

State Registrations and Notice Filings

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

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
Delaware
(3/1/2023)
RR
Pennsylvania
(2/27/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/31/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/28/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION

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

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

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE VANGUARD GROUP, INC.PARENT COMPANY
BENCHENER, MATTHEW JOHNCHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE5569805
BENDL, JOHN WESLEYDIRECTOR, SENIOR VICE PRESIDENT6931980
BISORDI, JOHNDIRECTOR, VICE PRESIDENT, GENERAL COUNSEL7526828
BOATENG, AMMA ACHEAMPOMAADIRECTOR, SENIOR VICE PRESIDENT4677078
BRANCATO, MATTHEW CLARKDIRECTOR, VICE PRESIDENT6220380
JAMES, JOHN MARKDIRECTOR, SENIOR VICE PRESIDENT5594356
PANTALONE, SALVATORE L JRPRINCIPAL FINANCIAL OFFICER2887373
PETTY, DAVIDVICE PRESIDENT5684895
STEWART, MARC CHRISTOPHERCHIEF COMPLIANCE OFFICER2688699
TRETTER, MATTHEW ANTHONYPRINCIPAL OPERATIONS OFFICER5956530

Disclosures

Regulatory Event48
Arbitration8

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.

Company Information

VANGUARD MARKETING CORPORATION

CRD#: 7452Malvern, PA 19355

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