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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Stephen Ross Hutter

Stephen R. Hutter

VANGUARD ADVISERS
CHARLOTTE, NC 28262
Some features on this profile are disabled
CRD#: 4582642
Stephen Ross Hutter

Professional summary

Stephen Ross Hutter, CFP®, who also goes by Stephen R Hutter, Stephen Ross Hutter, Stephen Hutter, Steve Hutter, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Stephen has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephen R Hutter | Stephen Ross Hutter | Stephen Hutter | Steve Hutter

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Ross Hutter'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: 2019

Experience

Current

March 12, 2026 - Present

VANGUARD ADVISERS, INC.

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262
RIA
CRD#: 106715
CHARLOTTE, NC
Current

March 12, 2026 - Present

VANGUARD MARKETING CORPORATION

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262
BD
CRD#: 7452
CHARLOTTE, NC
Past

August 29, 2025 - February 12, 2026

BLUE FINANCIAL

RIA
CRD#: 330324
CHARLOTTE, NC
Past

March 20, 2023 - July 3, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

March 20, 2023 - July 3, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

January 21, 2020 - February 23, 2023

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
CHARLOTTE, NC
Past

January 21, 2020 - February 23, 2023

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
CHARLOTTE, NC
Past

September 24, 2018 - May 2, 2019

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
CHARLOTTE, NC
Past

September 19, 2018 - May 2, 2019

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CHARLOTTE, NC
Past

September 13, 2017 - August 27, 2018

SANTANDER SECURITIES LLC

RIA
CRD#: 41791
DEDHAM, MA
Past

September 13, 2017 - August 27, 2018

SANTANDER SECURITIES LLC

BD
CRD#: 41791
DEDHAM, MA
Past

February 4, 2013 - August 30, 2017

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
BRAINTREE, MA
Past

August 21, 2012 - August 30, 2017

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
BRAINTREE, MA
Past

June 30, 2010 - August 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WELLESLEY HILLS, MA
Past

October 23, 2009 - August 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WELLESLEY HILLS, MA
Past

April 7, 2009 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
WALTHAM, MA
Past

June 30, 2006 - March 18, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
WALTHAM, MA
Past

February 15, 2006 - April 27, 2006

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
BOSTON, MA
Past

October 3, 2003 - March 3, 2006

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

December 13, 2002 - August 25, 2003

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA

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
(3/18/2026)
RR
Alaska
(3/18/2026)
RR
Arizona
(3/18/2026)
RR
Arkansas
(3/18/2026)
RR
California
(3/18/2026)
RR
Colorado
(3/18/2026)
RR
Connecticut
(3/18/2026)
RR
Delaware
(3/18/2026)
RR
District of Columbia
(3/18/2026)
RR
Florida
(3/18/2026)
RR
Georgia
(3/18/2026)
RR
Hawaii
(3/18/2026)
RR
Idaho
(3/18/2026)
RR
Illinois
(3/18/2026)
RR
Indiana
(3/18/2026)
RR
Iowa
(3/18/2026)
RR
Kansas
(3/18/2026)
RR
Kentucky
(3/18/2026)
RR
Louisiana
(3/18/2026)
RR
Maine
(3/18/2026)
RR
Maryland
(3/18/2026)
RR
Massachusetts
(3/18/2026)
RR
Michigan
(3/18/2026)
RR
Minnesota
(3/18/2026)
RR
Mississippi
(3/18/2026)
RR
Missouri
(3/18/2026)
RR
Montana
(3/18/2026)
RR
Nebraska
(3/18/2026)
RR
Nevada
(3/18/2026)
RR
New Hampshire
(3/18/2026)
RR
New Jersey
(3/18/2026)
RR
New Mexico
(3/18/2026)
RR
New York
(3/18/2026)
RR
North Carolina
(3/12/2026)
IAR
North Carolina
(3/12/2026)
RR
North Dakota
(3/18/2026)
RR
Ohio
(3/18/2026)
RR
Oklahoma
(3/18/2026)
RR
Oregon
(3/18/2026)
RR
Pennsylvania
(3/18/2026)
RR
Puerto Rico
(3/18/2026)
RR
Rhode Island
(3/18/2026)
RR
South Carolina
(3/18/2026)
RR
South Dakota
(3/18/2026)
RR
Tennessee
(3/18/2026)
IAR
Texas
(3/12/2026)
RR
Texas
(3/18/2026)
RR
Utah
(3/18/2026)
RR
Vermont
(3/18/2026)
RR
Virgin Islands
(3/18/2026)
RR
Virginia
(3/18/2026)
RR
Washington
(3/18/2026)
RR
West Virginia
(3/18/2026)
RR
Wisconsin
(3/18/2026)
RR
Wyoming
(3/18/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/29/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/12/2002
Investment Company Products/Variable Contracts Representative Examination
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
Registered Investment Advisory firm - (7/28/1995 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VANGUARD MODEL PORTFOLIOS (2/2/2026)
VANGUARD PERSONAL ADVISOR SELECT (1/2/2026)
VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (1/2/2026)
VANGUARD SITUATIONAL ADVISOR BROCHURE (1/2/2026)
STABLE VALUE (9/29/2025)
VANGUARD MANAGED ACCOUNT PROGRAM AND PERSONAL ONLINE ADVISOR (9/29/2025)

Regulatory assets under management

Total Number of Accounts698,843
AUM (Assets Under Management)$ 300,434,933,763

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

VANGUARD ADVISERS, INC.

CRD#: 106715Charlotte, NC 28262

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