Byron R. Smith

VANGUARD ADVISERS

Scottsdale, AZ 85260

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CRD#: 2285616

Professional summary

Byron Richard Smith, who also goes by Byron R Smith, Byron Smith, Byron Richard Smith, Rick Smith, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Scottsdale, Arizona and VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.

Byron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Byron has worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Byron R Smith | Byron Smith | Byron Richard Smith | Rick Smith

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Byron Richard Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

October 29, 2021 - Present

VANGUARD ADVISERS, INC.

Office #1: 14321 North Northsight Blvd, Scottsdale, AZ 85260

RIA

CRD#: 106715

Scottsdale, AZ

Current

September 17, 2021 - Present

VANGUARD MARKETING CORPORATION

Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260

CRD#: 7452

Scottsdale, AZ

Past

November 6, 2019 - September 15, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

PHOENIX, AZ

Past

February 26, 2015 - December 21, 2018

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

FLAGSTAFF, AZ

Past

June 26, 2012 - February 25, 2015

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

PHOENIX, AZ

Past

June 21, 2012 - February 25, 2015

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

PHOENIX, AZ

Past

April 20, 2009 - December 1, 2011

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

SAN LEANDRO, CA

Past

April 17, 2009 - December 1, 2011

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN LEANDRO, CA

Past

February 6, 2008 - April 20, 2009

TD AMERITRADE, INC.

RIA

CRD#: 7870

WALNUT CREEK, CA

Past

February 6, 2008 - April 20, 2009

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

WALNUT CREEK, CA

Past

February 6, 2008 - April 20, 2009

TD AMERITRADE, INC.

CRD#: 7870

WALNUT CREEK, CA

Past

October 30, 2007 - February 4, 2008

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

CONCORD, CA

Past

October 6, 2005 - December 20, 2006

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

LAFAYETTE, CA

Past

October 5, 2005 - December 20, 2006

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

LAFAYETTE, CA

Past

January 7, 2005 - October 7, 2005

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

WALNUT CREEK, CA

Past

January 7, 2005 - October 7, 2005

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

October 18, 2001 - December 17, 2004

ATLAS SECURITIES, LLC

CRD#: 20991

SAN LEANDRO, CA

Past

April 26, 2001 - September 17, 2001

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

April 13, 1998 - May 15, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 19, 1998 - April 13, 1998

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/15/2025)

Alaska
(5/15/2025)

Arizona
(9/17/2021)

IAR

Arizona
(11/4/2021)

Arkansas
(5/15/2025)

California
(5/15/2025)

Colorado
(5/15/2025)

Connecticut
(5/15/2025)

Delaware
(5/15/2025)

District of Columbia
(5/15/2025)

Florida
(5/15/2025)

Georgia
(5/15/2025)

Hawaii
(5/15/2025)

Idaho
(5/15/2025)

Illinois
(5/15/2025)

Indiana
(5/15/2025)

Iowa
(5/15/2025)

Kansas
(5/15/2025)

Kentucky
(5/15/2025)

Louisiana
(5/15/2025)

Maine
(5/15/2025)

Maryland
(5/15/2025)

Massachusetts
(5/15/2025)

Michigan
(5/15/2025)

Minnesota
(5/15/2025)

Mississippi
(5/15/2025)

Missouri
(5/15/2025)

Montana
(5/15/2025)

Nebraska
(5/15/2025)

Nevada
(5/15/2025)

New Hampshire
(5/15/2025)

New Jersey
(5/15/2025)

New Mexico
(5/15/2025)

New York
(5/15/2025)

North Carolina
(5/15/2025)

North Dakota
(5/15/2025)

Ohio
(5/15/2025)

Oklahoma
(5/15/2025)

Oregon
(5/15/2025)

Pennsylvania
(5/15/2025)

Puerto Rico
(5/15/2025)

Rhode Island
(5/15/2025)

South Carolina
(5/15/2025)

South Dakota
(5/15/2025)

Tennessee
(7/25/2024)

IAR

Texas
(10/29/2021)

Texas
(5/15/2025)

Utah
(5/15/2025)

Vermont
(5/15/2025)

Virgin Islands
(5/15/2025)

Virginia
(5/15/2025)

Washington
(5/15/2025)

West Virginia
(5/15/2025)

Wisconsin
(5/15/2025)

Wyoming
(5/15/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/28/2021

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/22/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/26/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/8/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/18/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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

Byron R. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Byron Richard Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

PRUCO SECURITIES, LLC.

FARMERS FINANCIAL SOLUTIONS, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

ALLSTATE FINANCIAL SERVICES, LLC

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

ATLAS SECURITIES, LLC

WAMU INVESTMENTS, INC.

MORGAN STANLEY DW INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/28/2021

Series 65

Date: 6/22/1998

Series 63

Date: 1/6/1998

SIE

Date: 10/1/2018

Series 31

Date: 6/26/1998

Series 7

Date: 6/8/1998

Series 6

Date: 2/18/1998

FINRA

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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