Colin Michael 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

• 09/2017 → 04/2019
  Vanguard Marketing Corporation
  Charlotte, NC
• 01/2016 → 09/2017
  Fastenal
  Charlotte, NC
• 01/2016 → 09/2016
  Dick's Sporting Goods
  Charlotte, NC
• 08/2013 → 05/2018
  University Of North Carolina At Charlotte
  Charlotte, NC
• 01/2020 → 09/2022
  Bofa Securities, Inc.
  Charlotte, NC
• 04/2019 → 01/2020
  Signature Consultants
  Charlotte, NC
• 09/2022 → 04/2024
  Merrill Lynch, Pierce, Fenner & Smith, Llc
  Charlotte, NC
• 01/2020 → 04/2024
  Bank Of America Corporation
  Charlotte, NC
• 04/2024 → 05/2025
  Tiaa-Cref Individual & Instatutional Services, Inc.
  Charlotte, NC
• 07/2025 → Present
  The Vanguard Group, Inc.
  Charlotte, NC
• 07/2025 → Present
  Vanguard Marketing Corporation
  Charlotte, NC

Previous Registrations

• 2024-04-15 → 2025-05-19
  Tiaa-Cref Individual & Institutional Services, Llc
  Charlotte, NC
  Charlotte, NC
• 2022-10-02 → 2024-04-09
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  Charlotte, NC
  Charlotte, NC

Exams

• S66 Uniform Combined State Law Examination
  2022-10-01
• S63 Uniform Securities Agent State Law Examination
  2017-11-03

Other Names

• Colin M Smith
• Colin Smith