CE
Christopher A. Esser
VANGUARD ADVISERS
SCOTTSDALE, AZ 85260
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CRD#: 2724810
CE
Professional summary
Christopher Allen Esser, CFP®, who also goes by Chris Esser, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Scottsdale, Arizona and VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Christopher has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Chris Esser
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.
NAME OF BUSINESS: LIMITED AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: CAVE CREEK, AZ NATURE OF BUSINESS: FIDUCIARY POSITION: LIMITED AGENT START DATE: 04/2014 APPROXIMATE HOURS/MONTH:1 HOURS DEVOTED DURING TRADING HOURS:0 DUTIES: LIMITED AGENT FOR IMMEDIATE FAMILY MEMBER NAME OF BUSINESS: LIMITED AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: CAVE CREEK, AZ NATURE OF BUSINESS: FIDUCIARY POSITION: LIMITED AGENT START DATE: 07/2025 APPROXIMATE HOURS/MONTH:0 HOURS DEVOTED DURING TRADING HOURS:0 DUTIES: LIMITED AGENT FOR IMMEDIATE FAMILY MEMBER
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Allen Esser's 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®
CFP®
Start date: 2005
Experience
Current
May 17, 2011 - Present
VANGUARD ADVISERS, INC.
Office #1: 14321 N Northsight Blvd, Scottsdale, AZ 85260RIA
CRD#: 106715
SCOTTSDALE, AZ
Current
May 5, 2011 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260BD
CRD#: 7452
Scottsdale, AZ
Past
April 13, 2010 - April 19, 2011
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
PHOENIX, AZ
Past
April 7, 2010 - April 19, 2011
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
December 11, 2007 - August 28, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
PHILADELPHIA, PA
Past
November 8, 2007 - August 28, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
PHILADELPHIA, PA
Past
April 9, 1996 - October 22, 2007
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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".
VA
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.RR
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
RR
Alabama(6/8/2015)
RR
Alaska(6/8/2015)
RR
Arizona(5/5/2011)
IAR
Arizona(5/17/2011)
RR
Arkansas(6/8/2015)
RR
California(6/8/2015)
RR
Colorado(6/8/2015)
RR
Connecticut(6/8/2015)
RR
Delaware(6/8/2015)
RR
District of Columbia(6/8/2015)
RR
Florida(6/8/2015)
RR
Georgia(6/8/2015)
RR
Hawaii(6/8/2015)
RR
Idaho(6/8/2015)
RR
Illinois(6/8/2015)
RR
Indiana(6/8/2015)
RR
Iowa(6/8/2015)
RR
Kansas(6/8/2015)
RR
Kentucky(6/8/2015)
RR
Louisiana(6/8/2015)
RR
Maine(6/8/2015)
RR
Maryland(6/8/2015)
RR
Massachusetts(6/8/2015)
RR
Michigan(6/8/2015)
RR
Minnesota(6/8/2015)
RR
Mississippi(6/8/2015)
RR
Missouri(6/8/2015)
RR
Montana(6/8/2015)
RR
Nebraska(6/8/2015)
RR
Nevada(6/8/2015)
RR
New Hampshire(6/8/2015)
RR
New Jersey(6/8/2015)
RR
New Mexico(6/8/2015)
RR
New York(6/8/2015)
RR
North Carolina(6/10/2015)
RR
North Dakota(6/8/2015)
RR
Ohio(6/8/2015)
RR
Oklahoma(6/8/2015)
RR
Oregon(6/8/2015)
RR
Pennsylvania(6/8/2015)
RR
Puerto Rico(6/8/2015)
RR
Rhode Island(6/8/2015)
RR
South Carolina(6/8/2015)
RR
South Dakota(6/8/2015)
RR
Tennessee(6/8/2015)
IAR
Texas(5/18/2011)
RR
Texas(6/8/2015)
RR
Utah(6/8/2015)
RR
Vermont(6/8/2015)
RR
Virgin Islands(6/8/2015)
RR
Virginia(6/8/2015)
RR
Washington(6/8/2015)
RR
West Virginia(6/8/2015)
RR
Wisconsin(6/8/2015)
RR
Wyoming(6/8/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
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
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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
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.
