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Kristen Ann Rossi

Vanguard Advisers, Inc.

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About Kristen Ann Rossi

Kristen Rossi is a financial advisor at Vanguard Advisers, Inc., with over 20 years of experience in the industry. Kristen is registered to provide investment advice in North Carolina and Texas. Kristen is a licensed securities professional and has passed the Series 7, Series 63, Series 66, and SIE exams. In her previous roles, Kristen worked at UBS Securities LLC and First Tennessee Securities Corp. She currently holds Series 7, Series 63 and Series 66 licenses and is registered in both North Carolina and Texas. Kristen is dedicated to helping her clients achieve their financial goals.

Firm Information

Kristen Rossi 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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Kristen Rossi’s Registration & Firm History

NC

04/05/2023 - Present

Vanguard Advisers, Inc. (CHARLOTTE NC)

NY

01/16/2003 - 09/18/2007

UBS SECURITIES LLC (NEW YORK NY)

TN

07/30/2001 - 04/16/2002

FIRST TENNESSEE SECURITIES CORP. (MEMPHIS TN)

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Licenses & Designations

BOTH

Issued 04/03/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/14/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/01/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/13/2022

SIE - Securities Industry Essentials Examination

BC

Issued 07/26/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kristen Ann Rossi.
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