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Joseph Brennan

Managing Director and Chief Risk Officer at The Vanguard Group

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Joseph Brennan is Managing Director and Chief Risk Officer of The Vanguard Group, Inc., a Malvern investment adviser managing $11.1T. Joseph Brennan has a current broker registration and no current investment-adviser registration and has passed the Series 6, Series 7, Series 63 and SIE.

Role at The Vanguard Group

Title on Schedule A
Managing Director and Chief Risk Officer
Control
Joseph Brennan is a control person of The Vanguard Group.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Brennan has held the filed role since September 2018.

The firm

The Vanguard Group, Inc.
Malvern, PA

Form ADV filed 21 September 2026

$11.1T AUM228 clients19 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 63 · 2000
  3. Passed Series 6 and Series 7 · 1992

Registrations and exams

Broker registration; no current adviser registration. Joseph Brennan has passed 4 qualifying exams.

Examinations

Series 6324 July 2000
Name
Uniform Securities Agent State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 72 September 1992
Name
General Securities Representative Examination
Series 69 June 1992
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Joseph Patrick Brennan
CRD
2193881
Firm
The Vanguard Group, Inc.
Registration status
Broker registration; no current adviser registration
Firm bio
corporate.vanguard.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Joseph Brennan is a managing director and Vanguard’s global chief risk officer. Vanguard says he previously led its Equity Index Group and earned degrees from Fairfield University and Drexel University. Official firm biography

Common questions

Where does Joseph Brennan work?

Joseph Brennan has been Managing Director and Chief Risk Officer of The Vanguard Group, Inc. since September 2018, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 21 September 2026

Does Joseph Brennan have a current investment-adviser registration?

Joseph Brennan has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Joseph Brennan passed?

Joseph Brennan has passed 4 licensing exams: the Series 6, Series 7, Series 63 and SIE. The earliest, the Series 6, was passed in June 1992.

Source: IAPD individual record, checked 17 October 2026

Leadership at The Vanguard Group

Sources

  1. IAPD individual record, CRD 2193881. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of The Vanguard Group, Inc., filed 21 September 2026. Title, control and ownership bands.
  3. The Vanguard Group team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Brennan or The Vanguard Group, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.