VANGUARD CAPITAL WEALTH ADVISORS, LLC of DENVER, CO is an SEC-registered investment adviser (CRD 285052). Regulatory assets under management: $190.4M.
Compensation: % of AUM, Hourly.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Vincent Mark Polivka | MEMBER, CCO | — |
| John Derek Borcich | MEMBER | — |
| Julia Clare Youngblood | MEMBER | — |
| POLIVKA VINCENT MARK | MEMBER, CCO | — |
| BLAKEZUNIGA JOHN AMADOR | MEMBER | — |
| BORCICH JOHN DEREK | MEMBER | — |
| YOUNGBLOOD JULIA CLARE | MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-04-03 | regulatory | ADVISORY AFFILIATE ACCUSED OF IMPROPERLY USING LEVERAGED AND/OR INVERSE ETF PRODUCTS DURING 2009-2012 IN CLIENT ACCOUNTS FOR MORE THAN ONE TRADING PERIOD DESPITE FULL DISCLOSURE AND USE OF SUCH PRODUCTS FOR HEDGING PURPOSES AND NOT IN VIOLATION OF ANY FIRM POLICIES AND PROCEDURES. | Final | $25K |
| 2011-08-30 | regulatory | FINRA RULE 2010, NASD RULES 2110, 3030: BLAKE-ZUNIGA FAILED TO PROVIDE PROMPT WRITTEN NOTICE OF AN OUTSIDE BUSINESS ACTIVITY TO HIS MEMBER FIRM. BLAKE-ZUNIGA FORMED A COMPANY BEFORE BECOMING ASSOCIATED WITH HIS FIRM; ONCE HE BECAME ASSOCIATED WITH HIS FIRM, HE DISCLOSED THE COMPANY HE FORMED AS AN O… | Final | $5K |
| 2011-03-30 | regulatory | BLAKEZUNIGA FAILED TO DISCLOSE TO HIS BROKER-DEALER HIS POSITION AS CEO OR CHIEF EXECUTIVE OF AN ENTITY IN WHICH HE ISSUED PROMISSORY NOTES AND THEREFORE CONDUCTED UNAUTHORIZED OUTSIDE BUSINESS ACTIVITIES. | Final | $4K |