Carlos I. Fierro
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.
Carlos Ivan Fierro, CFP®, who also goes by Carlos IVan Fierro, Carlos Ivan Fierro Gonzalez, Carlos Iván Fierro, Carlos Fierro, Carlos Iván Fierro Gonzalez, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2004. Carlos had worked at 13 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2022 - August 23, 2023
VANGUARD ADVISERS, INC.
July 12, 2022 - August 23, 2023
VANGUARD MARKETING CORPORATION
March 30, 2022 - May 21, 2022
TD AMERITRADE, INC.
January 22, 2022 - May 21, 2022
TD AMERITRADE, INC.
November 2, 2018 - May 21, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 8, 2018 - October 29, 2018
USAA INVESTMENT SERVICES COMPANY
February 10, 2014 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
February 10, 2014 - October 25, 2018
USAA FINANCIAL ADVISORS, INC.
May 30, 2012 - January 22, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 30, 2012 - January 22, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 20, 2009 - May 31, 2012
CHASE INVESTMENT SERVICES CORP.
January 20, 2009 - May 31, 2012
CHASE INVESTMENT SERVICES CORP.
January 5, 2007 - December 31, 2008
SWBC INVESTMENT COMPANY
January 3, 2007 - December 31, 2008
SWBC INVESTMENT SERVICES, LLC
January 31, 2006 - December 31, 2006
CETERA WEALTH SERVICES, LLC
January 20, 2006 - December 31, 2006
CETERA WEALTH SERVICES, LLC
September 2, 2004 - January 9, 2006
EQUITABLE ADVISORS, LLC
August 17, 2004 - January 9, 2006
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
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.
