Thomas A. Stewart

VANGUARD ADVISERS

CHARLOTTE, NC 28262

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CRD#: 3160744

Professional summary

Thomas Alan Stewart, CFP®, who also goes by Thomas Alan Stewart, Thomas A Stewart, Thomas Stewart, Tom A Stewart, Tom Alan Stewart, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 10, Series 9, Series 24 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Alan Stewart | Thomas A Stewart | Thomas Stewart | Tom A Stewart | Tom Alan Stewart

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 Thomas Alan Stewart'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

May 13, 2022 - Present

VANGUARD ADVISERS, INC.

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262

RIA

CRD#: 106715

CHARLOTTE, NC

Current

May 13, 2022 - Present

VANGUARD MARKETING CORPORATION

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262

CRD#: 7452

CHARLOTTE, NC

Past

August 27, 2013 - April 18, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CLAYTON, MO

Past

August 15, 2013 - April 18, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CLAYTON, MO

Past

July 11, 2012 - September 17, 2013

THOMAS A. STEWART, CFP, FINANCIAL PLANNING AND INVESTMENTS

RIA

CRD#: 164080

LAS VEGAS, NV

Past

June 29, 2012 - May 3, 2013

MVP AMERICAN SECURITIES

CRD#: 118286

LAS VEGAS, NV

Past

July 6, 2010 - August 2, 2011

THE WHALEN GROUP

RIA

CRD#: 118864

LAS VEGAS, NV

Past

June 4, 2010 - May 7, 2012

FINANCIAL ADVISERS OF AMERICA, LLC

RIA

CRD#: 142170

HENDERSON, NV

Past

April 22, 2010 - May 7, 2012

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

HENDERSON, NV

Past

May 6, 2008 - April 9, 2010

CM SECURITIES, LLC

CRD#: 127136

HENDERSON, NV

Past

May 28, 2002 - December 8, 2005

USA SECURITIES, LLC

CRD#: 118651

LAS VEGAS, NV

Past

May 28, 1999 - September 14, 1999

VESTIN CAPITAL, INC.

CRD#: 46486

LAS VEGAS, NV

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

Missouri
(5/13/2022)

North Carolina
(5/13/2022)

IAR

North Carolina
(5/16/2022)

South Carolina
(12/22/2023)

IAR

South Carolina
(12/26/2023)

IAR

Texas
(5/13/2022)

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 65

Date: 6/2/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/2008

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: 5/5/2008

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/21/2002

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/1/2017

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/26/2017

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/2/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 6/24/2003

Direct Participation Programs Principal 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

Thomas A. Stewart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Alan Stewart's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THOMAS A. STEWART, CFP, FINANCIAL PLANNING AND INVESTMENTS

MVP AMERICAN SECURITIES

THE WHALEN GROUP

FINANCIAL ADVISERS OF AMERICA, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

CM SECURITIES, LLC

USA SECURITIES, LLC

VESTIN CAPITAL, INC.

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/2010

Series 63

Date: 5/9/2008

SIE

Date: 10/1/2018

Series 7

Date: 5/5/2008

Series 22

Date: 2/21/2002

Series 10

Date: 8/1/2017

Series 9

Date: 6/26/2017

Series 24

Date: 7/2/2012

Series 39

Date: 6/24/2003

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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