Nicholas J. Marino

VANGUARD ADVISERS

SCOTTSDALE, AZ 85260

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CRD#: 6606133

Professional summary

Nicholas James Marino, CFP®, who also goes by Nicholas J Marino, Nicholas Marino, Nick J Marino, Nick James Marino, Nick Marino, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Scottsdale, Arizona and VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Nicholas has worked at 10 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas J Marino | Nicholas Marino | Nick J Marino | Nick James Marino | Nick Marino

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) - RIA

Click below to view Nicholas James Marino'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: 2020

Experience

Current

February 7, 2025 - Present

VANGUARD ADVISERS, INC.

Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260

RIA

CRD#: 106715

SCOTTSDALE, AZ

Current

January 30, 2025 - Present

VANGUARD MARKETING CORPORATION

Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260

CRD#: 7452

Scottsdale, AZ

Past

February 26, 2024 - November 22, 2024

BREAKAWAY WEALTH

RIA

CRD#: 329826

COLUMBUS, OH

Past

July 28, 2022 - January 31, 2024

DEW WEALTH MANAGEMENT

RIA

CRD#: 114148

WESTERVILLE, OH

Past

March 18, 2021 - July 14, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Columbus, OH

Past

February 19, 2021 - July 11, 2022

GERBER, LLC

RIA

CRD#: 120039

COLUMBUS, OH

Past

March 27, 2020 - January 21, 2021

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

LONDON, OH

Past

March 27, 2020 - January 21, 2021

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

LONDON, OH

Past

October 7, 2019 - March 4, 2020

MORGAN STANLEY

RIA

CRD#: 149777

Columbus, OH

Past

October 7, 2019 - March 4, 2020

MORGAN STANLEY

CRD#: 149777

Columbus, OH

Past

January 4, 2017 - September 25, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WORTHINGTON, OH

Past

December 7, 2016 - September 25, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

WORTHINGTON, OH

Past

August 26, 2016 - December 14, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

AKRON, OH

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".

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.

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

Arizona
(2/5/2025)

IAR

Arizona
(2/14/2025)

IAR

Texas
(2/7/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/4/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/19/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/30/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 4/27/2018

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/19/2018

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

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)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STABLE VALUE (9/29/2025)

VANGUARD MANAGED ACCOUNT PROGRAM AND PERSONAL ONLINE ADVISOR (9/29/2025)

VANGUARD SITUATIONAL ADVISOR BROCHURE (9/29/2025)

VANGUARD STRATEGIC MODEL PORTFOLIOS (9/29/2025)

VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (9/29/2025)

VANGUARD PERSONAL ADVISOR SELECT (9/29/2025)

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	Cover Page	Report
10/23/2024	Cover Page	Report
06/28/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Nicholas J. Marino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas James Marino's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

BREAKAWAY WEALTH

DEW WEALTH MANAGEMENT

PURSHE KAPLAN STERLING INVESTMENTS

GERBER, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

MORGAN STANLEY

MORGAN STANLEY

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/4/2025

Series 66

Date: 12/19/2016

Series 7TO

Date: 1/30/2025

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2016

Series 24

Date: 8/30/2018

Series 10

Date: 4/27/2018

Series 9

Date: 4/19/2018

FINRA

Current Firm

VANGUARD ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VANGUARD ADVISERS, INC.

TRUST BUT VERIFY

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