Changing Middle Name - Vanguard - [Advice requested]

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Librarian
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Joined: Wed Aug 19, 2020 12:57 pm

Changing Middle Name - Vanguard - [Advice requested]

Post by Librarian »

[OP referenced a previous thread on this topic viewtopic.php?t=366603, but has a new question. Moderator Pops1860]

Since being forced to change to Brokerage last year for my Roth, I've been unable to access that account online. I do receive qtr reports snail mail.
(I also share a different portfolio with 2 other funds in husband's name AND mine, which appears correctly as Mary Jane NMI.
We can access THAT portfolio online with no problem.
All 3 Brokerage conversions were completed with the help of a Vanguard CASE MANAGER by phone last year.

Tax season alerted me that I have no access to my Roth acct online.
After 2 marathon 3 hr calls last week, it was determined that after I log-in, I need to re-register my Roth access, but neither my name nor my SS# i was being recognized by Vanguard any longer. During that call I did find the orig paper document from opening my Roth in 1998. THAT verifies my SS#. I was told my SS# had been altered to all zeroes! Thankfully, I have the document from early last year when I changed beneficiary on my Roth that provides the last 8 digits of my acct # after the dash. I was reassured after providing both docs that my SS# was now restored & recognized...(It isn't)

But the other major obstacle to online access is that VANGUARD has altered my name over the years without permission.
My full 1st name is Mary Jane with NMI. Many company computers have changed me to Maryjane, Mary J, Mary J. & Mary + JANE as middle.
But only with Vanguard has it become a problem.

They sent me a CHANGE NAME form but it requires court documentation & reason for this LEGAL name change.
But I am NOT CHANGING MY NAME LEGALLY.
I only need Vanguard to change or update their records for my ROTH & return me to my LEGAL NAME: Mary Jane with NMI !
I'm being denied access to my ROTH account & they have NO SOLUTION For me.
John Bogle is rolling over in his grave!
Anyone have any suggestions?
Thanks,
Mary Jane NMI
Last edited by Pops1860 on Mon Feb 03, 2025 11:40 am, edited 1 time in total.
123
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Joined: Fri Oct 12, 2012 3:55 pm

Re: Changing Middle Name - Vanguard - [Advice requested]

Post by 123 »

Can you open a new Roth account with Vanguard with the correct name and then transfer in the assets of the old Vanguard Roth account?

If that doesn't work you should write a snail mail letter to the Director of Regulatory Compliance at Vanguard in Malvern, PA about the problem and state that the system problem at Vanguard is preventing you from having access to your investments.
The closest helping hand is at the end of your own arm.
Librarian
Posts: 2
Joined: Wed Aug 19, 2020 12:57 pm

Re: Changing Middle Name - Vanguard - [Advice requested]

Post by Librarian »

Thank you for your reply.

Anyone know the Malvern address & person to contact?
It seems the position of Director of Regulatory Compliance is posted in want-ads online :annoyed
And I haven't located a Malvern PA address. I see only TX.

Now 3hrs into 2nd 3hrs phone convo of the day.
This agent trying to help says the NAME CHANGE form I rec'd last week is NOT appropriate (as i thought)
Instead he sent a One-and-the-Same form which does seem applicble, but requires a bank office medallian to verify my name(that Vangurd has has since 1998) PLUS a W-9 to re-establish my full SS# since my last 4 digits & zip code match 2 other customer accounts ?????

Thank you
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