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Raaj Arvind Gupta

Vanguard Advisers, Inc.

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About Raaj Arvind Gupta

Raaj Gupta is a financial advisor with Vanguard Advisers, Inc. Raaj has over 14 years of experience in the financial services industry. Raaj is registered with FINRA and is also registered in North Carolina, Texas, Utah, and Ohio. Raaj has a Series 7, Series 24, and Series 66 license and has earned the SIE designation. Raaj is also a survey participant for Alpha Sights. Raaj offers financial planning, portfolio management for individuals and businesses, portfolio management for pooled investment vehicles, and selection of other advisors.

Firm Information

Raaj Gupta 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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Raaj Gupta’s Registration & Firm History

NC

04/07/2022 - Present

Vanguard Advisers, Inc. (Charlotte NC)

OH

01/29/2009 - 01/11/2021

TD AMERITRADE, INC. (CINCINNATI OH)

PA

06/02/2008 - 07/30/2008

PNC INVESTMENTS (CRANBERRY PA)

PA

01/24/2007 - 05/08/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PITTSBURGH PA)

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Licenses & Designations

BOTH

Issued 02/15/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/04/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/23/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Raaj Arvind Gupta.
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