RC
Rick M. Cruz
VANGUARD ADVISERS
CHARLOTTE, NC 28262
Some features on this profile are disabled
CRD#: 6915413
RC
Professional summary
Rick Marvin Cruz, who also goes by Rick M Cruz, Rick Cruz, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.
Rick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Rick has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick M Cruz | Rick Cruz
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 NAME OF BUSINESS:�COSTELLO REAL ESTATE & INVESTMENTS NON-INVESTMENT RELATED ADDRESS:�TEGA CAY, SC NATURE OF BUSINESS:�REAL ESTATE POSITION:�REAL ESTATE AGENT START DATE:�03/2018 APPROX. HOURS/MONTH:�5 HOURS DEVOTED DURING TRADING HOURS:�0 DUTIES:�COMMERCIAL AND RESIDENTIAL SALES NAME OF BUSINESS:�BILTMORE RECORDS, INC. NON-INVESTMENT RELATED ADDRESS:�CHARLOTTE, NC NATURE OF BUSINESS:�MUSIC RECORDING POSITION:�OWNER START DATE:�02/2007 APPROX. HOURS/MONTH:�1 HOURS DEVOTED DURING TRADING HOURS:�0 DUTIES:�OWNER NAME OF BUSINESS:�RICK CRUZ LLC NON-INVESTMENT RELATED ADDRESS:�BRANDON, MS NATURE OF BUSINESS:�REAL ESTATE POSITION:�OWNER START DATE:�11/2021 APPROX. HOURS/MONTH:�2 HOURS DEVOTED DURING TRADING HOURS:�0 DUTIES:�COMMERCIAL AND RESIDENTIAL SALES NAME OF BUSINESS:�CENTURY 21 MASELLE & ASSOCIATES NON-INVESTMENT RELATED ADDRESS:�FLOWOOD, MS NATURE OF BUSINESS:�REAL ESTATE POSITION:�REAL ESTATE AGENT START DATE:�07/2020 APPROX. HOURS/MONTH:�4 HOURS DEVOTED DURING TRADING HOURS:�0 DUTIES:�COMMERCIAL AND RESIDENTIAL SALES NAME OF BUSINESS:�THE RIVER WELLNESS LLC NON-INVESTMENT RELATED ADDRESS:�FLOWOOD, MS NATURE OF BUSINESS:�COUNSELING SERVICES POSITION:�OWNER START DATE:�07/2019 APPROX. HOURS/MONTH:�2 HOURS DEVOTED DURING TRADING HOURS:�0 DUTIES:�ADVISE BUSINESS MANAGEMENT
CRS (Client Relationship Summary) - RIA
Click below to view Rick Marvin Cruz'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
May 31, 2022 - Present
VANGUARD ADVISERS, INC.
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262RIA
CRD#: 106715
CHARLOTTE, NC
Current
March 4, 2022 - Present
VANGUARD MARKETING CORPORATION
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262BD
CRD#: 7452
CHARLOTTE, NC
Past
September 29, 2021 - March 3, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
CORNELIUS, NC
Past
April 16, 2018 - October 10, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
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".
VA
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.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
Mississippi(7/25/2022)
IAR
Mississippi(10/7/2022)
IAR
North Carolina(5/31/2022)
RR
North Carolina(6/2/2022)
IAR
Texas(5/31/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/25/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
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)Upgrade to AdvisorCheck Premium
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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
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.
