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Samuel E. Scruggs

VANGUARD MARKETING
CHARLOTTE, NC 28262
CRD#: 6916624
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SS
Samuel Edward Scruggs JRVANGUARD MARKETING

Professional summary

Samuel Edward Scruggs JR, who also goes by Samuel Edward Scruggs, Sam Scruggs, Samuel E Scruggs Jr, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2021. Samuel has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Samuel Edward Scruggs | Sam Scruggs | Samuel E Scruggs Jr

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 Samuel Edward Scruggs JR'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

March 23, 2026 - Present

VANGUARD MARKETING CORPORATION

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262
BD
CRD#: 7452
CHARLOTTE, NC
Past

August 1, 2024 - January 15, 2026

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
CHARLOTTE, NC
Past

July 24, 2024 - January 15, 2026

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
CHARLOTTE, NC
Past

November 5, 2021 - August 29, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
WAXHAW, NC
Past

August 24, 2021 - August 5, 2022

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
JACKSONVILLE, FL
Past

March 29, 2021 - April 2, 2021

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CHARLOTTE, NC

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
North Carolina
(3/23/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/27/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/29/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/30/2020
Securities Industry Essentials 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#: 7452Charlotte, NC 28262

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