Byron Richard Smith

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2014 → 01/2019
  Farmers Insurance Group
  Flagstaff, AZ
• 11/2014 → 01/2019
  Farmers Financial Solutions Llc
  Flagstaff, AZ
• 10/2019 → 09/2021
  Pruco Securities Llc
  Phoenix, AZ
• 02/2019 → 10/2019
  Unemployed
  Flagstaff, AZ
• 09/2021 → Present
  The Vanguard Group, Inc.
  Scottsdale, AZ
• 09/2021 → Present
  Vanguard Marketing Corporation
  Scottsdale, AZ
• 10/2021 → Present
  Vanguard Advisers, Inc.
  Scottsdale, AZ

Previous Registrations

• 2012-06-21 → 2015-02-25
  Valic Financial Advisors, Inc.
  Houston, TX
• 2009-04-20 → 2011-12-01
  Cuso Financial Services, L.P.
  Berkeley, CA
  Oakland, CA
  San Diego, CA
  Alameda, CA
  Oakland, CA
  San Leandro, CA
  Oakland, CA
• 2008-02-06 → 2009-04-20
  Td Ameritrade, Inc.
  Walnut Creek, CA
• 2008-02-06 → 2009-04-20
  Td Ameritrade Investment Management, Llc
  Walnut Creek, CA
• 2005-10-06 → 2006-12-20
  Brecek & Young Advisors, Inc.
  Lafayette, CA
  Lafayette, CA
• 2005-01-07 → 2005-10-07
  Ameriprise Advisor Services, Inc.
  Walnut Creek, CA

Exams

• S66 Uniform Combined State Law Examination
  2021-10-28
• S65 Uniform Investment Adviser Law Examination
  1998-06-22
• S63 Uniform Securities Agent State Law Examination
  1998-01-06

Other Names

• Rick Smith
• Byron Richard Smith
• Byron R Smith
• Byron Richard Smith
• Byron Smith