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Christopher Blair Smith

Vanguard Advisers, Inc.

Scottsdale, AZ

CRD 4636888

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Employer firm

Vanguard Advisers, Inc. CRD 106715

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-04-27
AZ RA APPROVED 2023-04-19
  • TX RA
    APPROVED_RES
    Since 2023-04-27
  • AZ RA
    APPROVED
    Since 2023-04-19

Branch Locations

14321 North Northsight Blvd, Scottsdale, AZ 85260 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc. Scottsdale AZ 01/2023 Present
Adt Phoenix AZ 06/2020 03/2021
Self-Employed Phoenix AZ 03/2021 01/2023
Dignity Memorial Glendale AZ 06/2018 06/2020
American Income Life Phoenix AZ 06/2017 05/2018
Bankers Life Phoenix AZ 05/2016 05/2017
Mutual Of Omaha Phoenix AZ 08/2017 01/2023
Self-Employed Glendale AZ 01/1996 Present
Mass Mutual Scottsdale AZ 01/2018 06/2018
Vanguard Marketing Corporation Scottsdale AZ 01/2023 Present
Vanguard Advisers, Inc. Scottsdale AZ 04/2023 Present
  • 01/2023 → Present
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 06/2020 → 03/2021
    Adt
    Phoenix, AZ
  • 03/2021 → 01/2023
    Self-Employed
    Phoenix, AZ
  • 06/2018 → 06/2020
    Dignity Memorial
    Glendale, AZ
  • 06/2017 → 05/2018
    American Income Life
    Phoenix, AZ
  • 05/2016 → 05/2017
    Bankers Life
    Phoenix, AZ
  • 08/2017 → 01/2023
    Mutual Of Omaha
    Phoenix, AZ
  • 01/1996 → Present
    Self-Employed
    Glendale, AZ
  • 01/2018 → 06/2018
    Mass Mutual
    Scottsdale, AZ
  • 01/2023 → Present
    Vanguard Marketing Corporation
    Scottsdale, AZ
  • 04/2023 → Present
    Scottsdale, AZ
Other Businesses

NAME OF BUSINESS: SELF-EMPLOYED NON-INVESTMENT-RELATED ADDRESS: PHOENIX, AZ NATURE OF BUSINESS: OTHER POSITION: GOLF INSTRUCTOR START DATE: 01/1996 APPROXIMATE HOURS/MONTH: 1 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: TEACH OTHERS HOW TO IMPROVE THEIR GOLF GAME

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-17
S63 Uniform Securities Agent State Law Examination 2003-03-17
  • S66 Uniform Combined State Law Examination
    2023-04-17
  • S63 Uniform Securities Agent State Law Examination
    2003-03-17
Other Names
  • Christopher B Smith
  • Chris B Smith

View on SEC IAPD

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