Michael C. Waldow
Professional summary
Michael Craig Waldow, CFP®, who also goes by Michael C Waldow, Michael Waldow, Mike Waldow, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 17 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Craig Waldow's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1988
Experience
March 11, 2026 - Present
VANGUARD ADVISERS, INC.
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262February 3, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262June 13, 2023 - September 1, 2023
FREEDOM FAMILY OFFICE, LLC
March 19, 2019 - October 17, 2019
MEASURED RISK PORTFOLIOS
July 12, 2010 - August 13, 2010
B. RILEY WEALTH ADVISORS, INC.
June 25, 2010 - July 12, 2010
B. RILEY WEALTH ADVISORS, INC.
June 24, 2010 - August 9, 2011
FINANCIAL TELESIS INC
June 23, 2010 - February 15, 2013
FINANCIAL TELESIS INC
September 8, 2009 - December 18, 2009
LPL FINANCIAL LLC
September 8, 2009 - June 15, 2010
LPL FINANCIAL LLC
June 3, 2009 - March 7, 2018
INVESTLINC WEALTH SERVICES
April 29, 2008 - March 9, 2009
MEADOWBROOK SECURITIES LLC
October 15, 2007 - March 30, 2009
WELLSPRING WEALTH MANAGEMENT LLC
October 3, 2007 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
September 11, 2007 - September 8, 2009
ASSOCIATED SECURITIES CORP.
September 11, 2007 - September 8, 2009
ASSOCIATED SECURITIES CORP.
April 25, 2007 - September 6, 2007
FSC SECURITIES CORPORATION
April 24, 2007 - September 6, 2007
FSC SECURITIES CORPORATION
February 8, 2007 - April 26, 2007
HORNOR, TOWNSEND & KENT, LLC
January 31, 2007 - April 26, 2007
HORNOR, TOWNSEND & KENT, LLC
July 31, 2002 - November 19, 2003
PRIVATE CONSULTING GROUP, INC.
July 31, 2002 - November 19, 2003
PRIVATE CONSULTING GROUP, INC.
July 8, 1997 - July 30, 2002
FSC SECURITIES CORPORATION
September 27, 1993 - July 30, 2002
FSC SECURITIES CORPORATION
June 7, 1989 - September 27, 1993
NEW ENGLAND SECURITIES
November 5, 1987 - November 5, 1990
HORNOR, TOWNSEND & KENT, LLC
June 5, 1986 - October 14, 1987
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/7/2026)
(4/21/2026)
(3/11/2026)
Exams
Series 7TO
Date: 2/3/2026
General Securities Representative ExaminationFINRA
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
VANGUARD ADVISERS, INC.
CRD#: 106715Charlotte, NC 28262TRUST BUT VERIFY
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