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WB

William C. Brown

VANGUARD MARKETING
CHARLOTTE, NC 28262
Some features on this profile are disabled
CRD#: 7852659
WB

Professional summary

William Christopher Brown, who also goes by Chris Brown, William C Brown, William Brown, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.

William is registered as a RR (Registered Representative) and started their career in finance in 2024. William has worked at 2 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Brown | William C Brown | William Brown

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 William Christopher Brown'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

August 6, 2025 - Present

VANGUARD MARKETING CORPORATION

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

May 17, 2024 - May 16, 2025

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

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
(8/25/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/5/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/16/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/5/2024
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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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