Tony J. Nunez
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.
Tony John Nunez Jr, who also goes by Tony John Nunez Jr, Tony Nunez, Tony John Nunez, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 2013. Tony had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2022 - May 10, 2023
VANGUARD ADVISERS, INC.
April 28, 2022 - May 10, 2023
VANGUARD MARKETING CORPORATION
October 12, 2020 - January 28, 2022
AVANTAX ADVISORY SERVICES
October 8, 2020 - January 28, 2022
AVANTAX INVESTMENT SERVICES, INC.
December 3, 2018 - December 27, 2018
USAA FINANCIAL ADVISORS, INC.
December 15, 2015 - March 15, 2018
FIRST COMMAND ADVISORY SERVICES
April 24, 2015 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
April 24, 2015 - March 15, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
May 13, 2013 - March 12, 2015
TD AMERITRADE, INC.
May 13, 2013 - March 12, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 22, 2013 - March 12, 2015
TD AMERITRADE, INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
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.
