Unclaimed Profile

Karin Ann Risi

THE VANGUARD GROUP, INC.·MALVERN, Pennsylvania

SIE, Series 6, Series 7, Series 24, Series 26, Series 63, Series 65Clean record17 years registeredTHE VANGUARD GROUP, INC.

100 VANGUARD BLVD, MALVERN, PA 19355CRD# 3209445Firm CRD# 105958

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Karin Ann Risi · MALVERN, PA

Registration

CRD #3209445 · THE VANGUARD GROUP, INC. · 17 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: THE VANGUARD GROUP, INC.

VANGUARD ADVISERS, INC.

Jul 2009 – Dec 2024

MALVERN, PA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 26

Series 63

Series 65

Registration record

First registered · July 13, 2009

Years registered · 17

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

THE VANGUARD GROUP, INC.

CRD 105958 · SEC 801-11953

AUM

$7909.8B

Regulatory assets under management

Employees

980

209 client accounts

Services offered by THE VANGUARD GROUP, INC.

Per Form ADV

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Market timing services

Client types served by the firm

Per Form ADV

Institutional Investors

Pension & Retirement Plans

View all advisors at THE VANGUARD GROUP, INC. →

Introduction

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Frequently Asked Questions

What services does Karin Ann Risi offer?

Karin Ann Risi specializes in Investment Management, Retirement Planning, Wealth Management.

What are Karin Ann Risi's credentials?

Karin Ann Risi is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Karin Ann Risi located?

Karin Ann Risi is based in MALVERN, Pennsylvania, last registered with THE VANGUARD GROUP, INC..

How does Karin Ann Risi charge for services?

Karin Ann Risi's firm is compensated through percentage of aum, other: allocated share of vanguard's total cost of operations. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THE VANGUARD GROUP, INC.?

THE VANGUARD GROUP, INC. has approximately 980 employees and manages $7909.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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