Stephanie R. Szabo

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CRD#: 2143752

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephanie Rae Szabo, CFP®, who also goes by Stephanie Rae Hajek, Stephanie Szabo, was a registered financial professional .

Stephanie is a previously registered financial professional and started their career in finance in 1991. Stephanie had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephanie Rae Hajek | Stephanie Szabo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: Life and Health Insurance License ADDRESS (City/State): Decatur, TX NATURE OF BUSINESS: Insurance START DATE (Month/Year): 10/2021 APPROXIMATE HOURS PER MONTH: 0 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: Maintaining license only

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Past

October 15, 2021 - April 13, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Malvern, PA

Past

October 14, 2021 - April 13, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

May 6, 2016 - May 5, 2021

BENTOAK CAPITAL

RIA

CRD#: 173563

Fort Worth, TX

Past

October 29, 2015 - June 3, 2021

LPL FINANCIAL LLC

CRD#: 6413

FT WORTH, TX

Past

June 3, 2014 - May 21, 2015

OSAIC SERVICES, INC.

CRD#: 133763

HURST, TX

Past

May 1, 2008 - November 1, 2008

RAA

RIA

CRD#: 108203

DALLAS, TX

Past

September 26, 2006 - April 21, 2008

RAA WEALTH MANAGEMENT, LLC

RIA

CRD#: 141526

DALLAS, TX

Past

July 5, 2005 - October 2, 2006

RETIREMENT ADVISORS OF AMERICA

RIA

CRD#: 106968

DALLAS, TX

Past

July 16, 2004 - March 21, 2005

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SOUTHLAKE, TX

Past

May 28, 2004 - March 21, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 30, 2003 - April 8, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

July 12, 2000 - July 19, 2002

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

December 21, 1999 - May 26, 2000

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

August 27, 1997 - December 9, 1999

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

December 4, 1991 - August 4, 1997

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/25/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/23/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/2/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/3/1992

General Securities Principal Examination

Current Firm

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

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Contact information

Main Address

100 Vanguard Blvd, Malvern, PA 19355

Mailing Address

Phone number

(610) 669-1000

Established

Firm type

Fiscal year end

# of Employees

2,225

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STABLE VALUE (9/29/2025)

VANGUARD MANAGED ACCOUNT PROGRAM AND PERSONAL ONLINE ADVISOR (9/29/2025)

VANGUARD SITUATIONAL ADVISOR BROCHURE (9/29/2025)

VANGUARD STRATEGIC MODEL PORTFOLIOS (9/29/2025)

VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (9/29/2025)

VANGUARD PERSONAL ADVISOR SELECT (9/29/2025)

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	Cover Page	Report
10/23/2024	Cover Page	Report
06/28/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Stephanie R. Szabo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

BENTOAK CAPITAL

LPL FINANCIAL LLC

OSAIC SERVICES, INC.

RAA

RAA WEALTH MANAGEMENT, LLC

RETIREMENT ADVISORS OF AMERICA

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MML INVESTORS SERVICES, LLC

FIDELITY DISTRIBUTORS COMPANY LLC

HIMCO DISTRIBUTION SERVICES COMPANY

DELAWARE DISTRIBUTORS, L.P.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/25/2016

Series 63

Date: 9/23/1991

SIE

Date: 10/1/2018

Series 7

Date: 6/2/2014

Series 24

Date: 8/3/1992

Current Firm

VANGUARD ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VANGUARD ADVISERS, INC.

TRUST BUT VERIFY

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