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MB

Maria L. Botelho

VANGUARD MARKETING
MALVERN, PA 19355
CRD#: 6155269
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MB
Maria Lucia BotelhoVANGUARD MARKETING

Professional summary

Maria Lucia Botelho, who also goes by Maria C Botelho, Maria L Botelho, Maria Lucia Botelho, Maria Botelho, Maria Lucia Crozara Botelho, Maria Jesus Crozara, Maria Lucia De Jesus Crozara, Marialucia J Crozarabotelho, Marialucia Crozarabotelho, Marialuciad Crozarabotelho, Marialuciade J Crozarabotelho, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.

Maria is registered as a RR (Registered Representative) and started their career in finance in 2013. Maria has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maria C Botelho | Maria L Botelho | Maria Lucia Botelho | Maria Botelho | Maria Lucia Crozara Botelho | Maria Jesus Crozara | Maria Lucia De Jesus Crozara | Marialucia J Crozarabotelho | Marialucia Crozarabotelho | Marialuciad Crozarabotelho | Marialuciade J Crozarabotelho

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 Maria Lucia Botelho'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

May 13, 2026 - Present

VANGUARD MARKETING CORPORATION

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

September 18, 2024 - January 18, 2026

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
DUNWOODY, GA
Past

September 18, 2024 - January 18, 2026

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
DUNWOODY, GA
Past

December 20, 2023 - September 10, 2024

MORGAN STANLEY

RIA
CRD#: 149777
Alpharetta, GA
Past

December 20, 2023 - September 10, 2024

MORGAN STANLEY

BD
CRD#: 149777
Alpharetta, GA
Past

May 8, 2023 - December 14, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ALPHARETTA, GA
Past

May 4, 2023 - December 14, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ALPHARETTA, GA
Past

December 10, 2021 - April 22, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
DUNWOODY, GA
Past

November 17, 2021 - April 22, 2023

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DUNWOODY, GA
Past

March 10, 2020 - February 12, 2021

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
MERCER ISLAND, WA
Past

December 1, 2014 - February 5, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SEATTLE, WA
Past

February 24, 2013 - March 7, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
MARIETTA, GA

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
Alabama
(5/13/2026)
RR
Alaska
(5/13/2026)
RR
Arizona
(5/13/2026)
RR
Arkansas
(5/13/2026)
RR
California
(5/13/2026)
RR
Colorado
(5/13/2026)
RR
Connecticut
(5/13/2026)
RR
Delaware
(5/13/2026)
RR
District of Columbia
(5/13/2026)
RR
Florida
(5/13/2026)
RR
Georgia
(5/13/2026)
RR
Hawaii
(5/13/2026)
RR
Idaho
(5/13/2026)
RR
Illinois
(5/13/2026)
RR
Indiana
(5/13/2026)
RR
Iowa
(5/13/2026)
RR
Kansas
(5/13/2026)
RR
Kentucky
(5/13/2026)
RR
Louisiana
(5/13/2026)
RR
Maine
(5/13/2026)
RR
Maryland
(5/13/2026)
RR
Massachusetts
(5/13/2026)
RR
Michigan
(5/13/2026)
RR
Minnesota
(5/13/2026)
RR
Mississippi
(5/13/2026)
RR
Missouri
(5/13/2026)
RR
Montana
(5/13/2026)
RR
Nebraska
(5/13/2026)
RR
Nevada
(5/13/2026)
RR
New Hampshire
(5/13/2026)
RR
New Jersey
(5/13/2026)
RR
New Mexico
(5/13/2026)
RR
New York
(5/13/2026)
RR
North Carolina
(5/13/2026)
RR
North Dakota
(5/13/2026)
RR
Ohio
(5/13/2026)
RR
Oklahoma
(5/13/2026)
RR
Oregon
(5/13/2026)
RR
Pennsylvania
(5/13/2026)
RR
Puerto Rico
(5/13/2026)
RR
Rhode Island
(5/13/2026)
RR
South Carolina
(5/13/2026)
RR
South Dakota
(5/13/2026)
RR
Tennessee
(5/13/2026)
RR
Texas
(5/13/2026)
RR
Utah
(5/13/2026)
RR
Vermont
(5/13/2026)
RR
Virgin Islands
(5/13/2026)
RR
Virginia
(5/13/2026)
RR
Washington
(5/13/2026)
RR
West Virginia
(5/13/2026)
RR
Wisconsin
(5/13/2026)
RR
Wyoming
(5/13/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/10/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/4/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/4/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/17/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/22/2013
Investment Company Products/Variable Contracts 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)
Loading...

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

NamePositionCRD#
THE VANGUARD GROUP, INC.PARENT COMPANY
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
KADJESKI, ANDREW MICHAELCHAIRMAN, PRESIDENT, DIRECTOR, CEO4708335
PANTALONE, SALVATORE L JRPRINCIPAL FINANCIAL OFFICER2887373
PETTY, DAVIDVICE PRESIDENT5684895
STEWART, MARC CHRISTOPHERCHIEF COMPLIANCE OFFICER2688699
TRETTER, MATTHEW ANTHONYPRINCIPAL OPERATIONS OFFICER5956530

Disclosures

Regulatory Event47
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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