Carlos I. Fierro

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CRD#: 4825071

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 Iván Fierro, CFP®, who also goes by Carlos IVan Fierro, Carlosivan Fierrogonzalez, 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

Are you a "fiduciary"?

Aliases

Carlos Ivan Fierro | Carlosivan Fierrogonzalez | Carlos Fierro | Carlos Iván Fierro Gonzalez

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: RENTAL PROPERTY INVESTMENT-RELATED ADDRESS (City/State): Guanajuato, Mexico POSITION: LANDLORD/OWNER START DATE: 01/2021 APPROXIMATE HOURS/MONTH: 8 HOURS DEVOTED DURING TRADING HOURS: 0 NAME OF BUSINESS: The Velthius, LP INVESTMENT-RELATED ADDRESS: Ada, OK POSITION: Minority interest owner START DATE: 10/2022 APPROXIMATE HOURS/MONTH DEVOTED TO THE BUSINESS: 0 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0

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®

CFP^®

Certified Financial Planner

Experience

Past

August 11, 2022 - August 23, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

PLANO, TX

Past

July 12, 2022 - August 23, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

Plano, TX

Past

March 30, 2022 - May 21, 2022

CRD#: 6627

NEW YORK, NY

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

Series 63

Date: 8/4/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/1/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/2004

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)

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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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Carlos I. Fierro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

SWBC INVESTMENT COMPANY

SWBC INVESTMENT SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/4/2022

Series 66

Date: 9/1/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2004

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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