DC
David A. Coe
VANGUARD MARKETING
MALVERN, PA 19355
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CRD#: 6166073
DC
David Andrew CoeVANGUARD MARKETING
Professional summary
David Andrew Coe, who also goes by David Coe, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
David is registered as a RR (Registered Representative) and started their career in finance in 2013. David has worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Aliases
David Coe
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.
Western & Southern Life -No- 3903 Northdale Blvd. Suite 290E, Tampa, FL 33624 - Full Time Sales Agent
CRS (Client Relationship Summary) - BD
Click below to view David Andrew Coe'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
July 22, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
MALVERN, PA
Past
February 7, 2025 - February 23, 2026
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
Brandon, FL
Past
January 14, 2025 - February 23, 2026
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
March 14, 2024 - September 23, 2024
W&S BROKERAGE SERVICES, INC.
RIA
CRD#: 8099
TAMPA, FL
Past
January 9, 2024 - September 23, 2024
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
TAMPA, FL
Past
May 15, 2017 - May 16, 2019
LINCOLN INVESTMENT
RIA
CRD#: 519
TAMPA, FL
Past
May 12, 2017 - May 16, 2019
LINCOLN INVESTMENT
BD
CRD#: 519
TAMPA, FL
Past
July 17, 2013 - June 14, 2016
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
TAMPA, FL
Past
March 28, 2013 - June 14, 2016
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
TAMPA, FL
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(7/27/2026)
RR
Alaska(7/27/2026)
RR
Arizona(7/27/2026)
RR
Arkansas(7/27/2026)
RR
California(7/27/2026)
RR
Colorado(7/27/2026)
RR
Connecticut(7/27/2026)
RR
Delaware(7/27/2026)
RR
District of Columbia(7/27/2026)
RR
Florida(7/22/2026)
RR
Georgia(7/27/2026)
RR
Hawaii(7/27/2026)
RR
Idaho(7/27/2026)
RR
Illinois(7/27/2026)
RR
Indiana(7/27/2026)
RR
Iowa(7/27/2026)
RR
Kansas(7/27/2026)
RR
Kentucky(7/27/2026)
RR
Louisiana(7/27/2026)
RR
Maine(7/27/2026)
RR
Maryland(7/27/2026)
RR
Massachusetts(7/27/2026)
RR
Michigan(7/27/2026)
RR
Minnesota(7/27/2026)
RR
Mississippi(7/27/2026)
RR
Missouri(7/27/2026)
RR
Montana(7/27/2026)
RR
Nebraska(7/27/2026)
RR
Nevada(7/27/2026)
RR
New Hampshire(7/27/2026)
RR
New Jersey(7/27/2026)
RR
New Mexico(7/27/2026)
RR
New York(7/27/2026)
RR
North Carolina(7/27/2026)
RR
North Dakota(7/27/2026)
RR
Ohio(7/28/2026)
RR
Oklahoma(7/27/2026)
RR
Oregon(7/27/2026)
RR
Pennsylvania(7/27/2026)
RR
Puerto Rico(7/27/2026)
RR
Rhode Island(7/27/2026)
RR
South Carolina(7/27/2026)
RR
South Dakota(7/27/2026)
RR
Tennessee(7/27/2026)
RR
Texas(7/27/2026)
RR
Utah(7/27/2026)
RR
Vermont(7/27/2026)
RR
Virgin Islands(7/27/2026)
RR
Virginia(7/27/2026)
RR
Washington(7/27/2026)
RR
West Virginia(7/27/2026)
RR
Wisconsin(7/27/2026)
RR
Wyoming(7/27/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/9/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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.
