Todd A. Harris

Some features on this profile are disabled

CRD#: 4587165

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.

Todd Alexander Harris, who also goes by Todd Harris, Todd A Harris, was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 2003. Todd had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Todd Harris | Todd A Harris

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: Postmates NON-INVESTMENT RELATED: ADDRESS (City/State):Bloomfield, NJ NATURE OF BUSINESS: Independent Contractor - Driver POSITION:Driver START DATE (Month/Year): 3/2020 APPROXIMATE HOURS PER MONTH:20 NUMBER OF HOURS DURING TRADING HOURS:0 DUTIES: Contracted driver for Postmates

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®

None

Experience

Past

November 9, 2020 - May 27, 2022

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

MALVERN, PA

Past

November 5, 2020 - May 27, 2022

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

August 7, 2017 - August 31, 2018

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Secaucus, NJ

Past

August 7, 2017 - August 31, 2018

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Secaucus, NJ

Past

November 25, 2014 - May 12, 2017

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

FULLERTON, CA

Past

October 5, 2011 - November 24, 2014

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

NEW YORK, NY

Past

January 11, 2011 - May 24, 2011

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

NEW YORK, NY

Past

September 2, 2010 - May 12, 2017

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

Past

March 24, 2006 - September 26, 2008

AST INVESTMENT SERVICES, INC.

RIA

CRD#: 108897

SHELTON, CT

Past

October 3, 2005 - September 26, 2008

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

July 9, 2004 - August 3, 2005

PGIM INVESTMENTS LLC

RIA

CRD#: 105670

NEWARK, NJ

Past

September 26, 2003 - July 12, 2004

PGIM, INC.

RIA

CRD#: 105676

NEWARK, NJ

Past

January 13, 2003 - August 3, 2005

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

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: 10/15/2020

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/12/2003

General Securities Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Todd A. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

EAGLE STRATEGIES LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

EAGLE STRATEGIES LLC

NYLIFE DISTRIBUTORS LLC

AST INVESTMENT SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

PGIM INVESTMENTS LLC

PGIM, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2020

SIE

Date: 8/31/2018

Series 7

Date: 1/12/2003

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

Similar Advisors