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James Wayne Seratt

Vanguard Advisers, Inc.

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About James Wayne Seratt

James Seratt is a financial advisor with Vanguard Advisers, Inc., based in Scottsdale, Arizona. James Seratt is registered with the state of Arizona and Texas. James Seratt has been in the industry for 2 years and has extensive experience in financial planning, portfolio management for individuals and businesses, and selection of other advisors. James Seratt is also a licensed investment advisor representative and holds Series 63, Series 66 and Series 7TO licenses.

Firm Information

James Seratt is currently registered with Vanguard Advisers, Inc.. Vanguard Advisers, Inc. is a registered investment advisor headquartered in Malvern, Pennsylvania. With a focus on portfolio management for individuals, businesses, and pooled investment vehicles, the firm offers comprehensive financial planning services and specializes in selecting other advisors. Vanguard Advisers manages over $333 billion in assets for clients, including high-net-worth individuals, charitable organizations, and pension and profit-sharing plans. The firm has a strong online presence, with active profiles on LinkedIn, Facebook, Instagram, YouTube, Reddit, and Twitter.
Vanguard Advisers, Inc.

100 VANGUARD BLVD

MALVERN, PA 19355

$333.07B

Assets Under Management

151,862

Total Clients

2,326

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Seratt’s Registration & Firm History

AZ

12/12/2022 - Present

Vanguard Advisers, Inc. (SCOTTSDALE AZ)

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Licenses & Designations

BOTH

Issued 12/09/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/14/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/24/2021

Series 7TO - General Securities Representative Examination

BC

Issued 07/31/2020

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 07/16/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Wayne Seratt.
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