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Sm Faizul Azim Omi

Vanguard Advisers, Inc.

Charlotte, NC

CRD 7433064

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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
NC RA APPROVED 2026-05-26
TX RA APPROVED 2026-05-26
  • NC RA
    APPROVED
    Since 2026-05-26
  • TX RA
    APPROVED
    Since 2026-05-26

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • 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
Vanguard Advisers, Inc. Charlotte NC 05/2026 Present
The Vanguard Group, Inc. Charlotte NC 10/2021 Present
Scholastica School Pvt Ltd Dhaka 08/2010 05/2017
Rego Combo Llc Rego Park NY 09/2017 12/2017
Pennsylvania State University State College PA 01/2018 08/2021
Bank Asia Ltd Dhaka 07/2020 08/2020
Psu Auxiliary And Business Services State College PA 02/2018 02/2019
Unemployed Jamaica NY 06/2017 08/2017
Vanguard Marketing Corporation Charlotte NC 10/2021 Present
  • 05/2026 → Present
    Charlotte, NC
  • 10/2021 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
  • 08/2010 → 05/2017
    Scholastica School Pvt Ltd
    Dhaka
  • 09/2017 → 12/2017
    Rego Combo Llc
    Rego Park, NY
  • 01/2018 → 08/2021
    Pennsylvania State University
    State College, PA
  • 07/2020 → 08/2020
    Bank Asia Ltd
    Dhaka
  • 02/2018 → 02/2019
    Psu Auxiliary And Business Services
    State College, PA
  • 06/2017 → 08/2017
    Unemployed
    Jamaica, NY
  • 10/2021 → Present
    Vanguard Marketing Corporation
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-05-26
S63 Uniform Securities Agent State Law Examination 2021-12-28
  • S66 Uniform Combined State Law Examination
    2026-05-26
  • S63 Uniform Securities Agent State Law Examination
    2021-12-28
Other Names
  • Sm F Omi
  • Sm Omi

View on SEC IAPD

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