Luis F. Alvarez

VANGUARD ADVISERS

CHARLOTTE, NC 28262

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CRD#: 5080064

Professional summary

Luis Fernando Alvarez, who also goes by Luis Fernando Alvarez, Luis Alvarez, Luis F Alvarez, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.

Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Luis has worked at 10 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luis Fernando Alvarez | Luis Alvarez | Luis F Alvarez

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 Luis Fernando Alvarez'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®

None

Experience

Current

June 24, 2021 - Present

VANGUARD ADVISERS, INC.

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

RIA

CRD#: 106715

CHARLOTTE, NC

Current

June 8, 2021 - Present

VANGUARD MARKETING CORPORATION

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

CRD#: 7452

CHARLOTTE, NC

Past

February 22, 2018 - May 18, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Miami, FL

Past

August 3, 2017 - November 14, 2017

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

MIAMI, FL

Past

June 20, 2017 - November 14, 2017

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

MIAMI, FL

Past

April 17, 2015 - March 20, 2017

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

August 15, 2014 - October 14, 2014

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

March 9, 2012 - June 3, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

December 17, 2009 - March 9, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

December 10, 2009 - March 9, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

June 1, 2009 - October 8, 2009

MORGAN STANLEY

RIA

CRD#: 149777

MIAMI, FL

Past

June 1, 2009 - October 8, 2009

MORGAN STANLEY

CRD#: 149777

MIAMI, FL

Past

June 13, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MIAMI, FL

Past

February 2, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MIAMI, FL

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

Alabama
(6/24/2021)

Alaska
(6/24/2021)

Arizona
(6/24/2021)

Arkansas
(6/24/2021)

California
(6/24/2021)

Colorado
(6/24/2021)

Connecticut
(6/24/2021)

Delaware
(6/24/2021)

District of Columbia
(6/24/2021)

Florida
(6/24/2021)

Georgia
(6/24/2021)

Hawaii
(6/24/2021)

Idaho
(6/24/2021)

Illinois
(6/24/2021)

Indiana
(6/24/2021)

Iowa
(6/24/2021)

Kansas
(6/24/2021)

Kentucky
(6/24/2021)

Louisiana
(6/24/2021)

Maine
(6/24/2021)

Maryland
(6/24/2021)

Massachusetts
(6/24/2021)

Michigan
(6/24/2021)

Minnesota
(6/24/2021)

Mississippi
(6/24/2021)

Missouri
(6/24/2021)

Montana
(6/24/2021)

Nebraska
(6/24/2021)

Nevada
(6/24/2021)

New Hampshire
(6/24/2021)

New Jersey
(6/24/2021)

New Mexico
(6/24/2021)

New York
(6/24/2021)

North Carolina
(6/8/2021)

IAR

North Carolina
(6/24/2021)

North Dakota
(6/24/2021)

Ohio
(6/25/2021)

Oklahoma
(6/24/2021)

Oregon
(6/24/2021)

Pennsylvania
(6/24/2021)

Puerto Rico
(6/24/2021)

Rhode Island
(6/24/2021)

South Carolina
(6/24/2021)

South Dakota
(6/24/2021)

Tennessee
(6/24/2021)

Texas
(6/24/2021)

IAR

Texas
(6/24/2021)

Utah
(6/24/2021)

Vermont
(6/24/2021)

Virgin Islands
(6/24/2021)

Virginia
(6/24/2021)

Washington
(6/24/2021)

West Virginia
(6/24/2021)

Wisconsin
(6/24/2021)

Wyoming
(6/24/2021)

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 66

Date: 6/21/2021

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/6/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/31/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/14/2019

General Securities 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

Luis F. Alvarez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Fernando Alvarez's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

FORESIDE FUND SERVICES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BNY MELLON SECURITIES CORPORATION

BLACKROCK INVESTMENTS, LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2021

SIE

Date: 10/1/2018

Series 3

Date: 10/6/2008

Series 7

Date: 1/31/2007

Series 24

Date: 10/14/2019

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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