Martha I. Sowards
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.
Martha Irene Tullis Sowards, CFP®, who also goes by Martha Irene Tullis Sowards, Martie Sowards, Martha Irene Tullis, Martha Tullis, Martie Tullis, was a registered financial professional .
Martha is a previously registered financial professional and started their career in finance in 2017. Martha had worked at 4 firms and has passed the Series 63, Series 65, 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
February 4, 2020 - October 12, 2020
VANGUARD ADVISERS, INC.
February 4, 2020 - October 12, 2020
VANGUARD MARKETING CORPORATION
September 10, 2018 - July 2, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 16, 2018 - July 2, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 9, 2017 - June 11, 2018
LEARNVEST PLANNING SERVICES, LLC
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.
