Lee Smith Sera

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

• 01/2023 → Present
  The Vanguard Group, Inc.
  Scottsdale, AZ
• 11/2021 → Present
  Athleta #7041
  Scottsdale, AZ
• 09/2022 → 11/2022
  Randstad - 12019 - Rcs Vanguard
  Scottsdale, AZ
• 01/2008 → 06/2021
  Self Employed
  Scottsdale, AZ
• 07/2021 → 08/2022
  Unemployed
  Scottsdale, AZ
• 01/2023 → Present
  Vanguard Marketing Corporation
  Scottsdale, AZ
• 06/2023 → Present
  Vanguard Advisers, Inc.
  Scottsdale, AZ

Other Businesses

NAME OF BUSINESS: ATHLETA #7041 NON-INVESTMENT-RELATED ADDRESS: SCOTTSDALE, AZ NATURE OF BUSINESS: RETAIL POSITION: RETAIL BRAND ASSOCIATE START DATE: 11/2021 APPROXIMATE HOURS/MONTH: LESS THAN 60 HOURS NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: SALES CONSULTANT

Exams

• S66 Uniform Combined State Law Examination
  2023-06-16

Other Names

• Lee Sanford Smith
• Lee S Sera
• Lee S Smith
• Lee Sera