Jimmy To

VANGUARD ADVISERS

MALVERN, PA 19355

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CRD#: 5911757

Professional summary

Jimmy To, who also goes by James To, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Malvern, Pennsylvania and VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.

Jimmy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Jimmy has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James To

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 Jimmy To'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

February 4, 2026 - Present

VANGUARD ADVISERS, INC.

Office #1: 100 Vanguard Blvd, Malvern, PA 19355

RIA

CRD#: 106715

MALVERN, PA

Current

February 4, 2026 - Present

VANGUARD MARKETING CORPORATION

Office #1: 100 Vanguard Blvd, Malvern, PA 19355

CRD#: 7452

Malvern, PA

Past

July 7, 2022 - August 23, 2024

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

PHILADELPHIA, PA

Past

July 7, 2022 - August 23, 2024

CITIZENS SECURITIES, INC.

CRD#: 39550

PHILADELPHIA, PA

Past

September 1, 2021 - May 27, 2022

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

Marlton, NJ

Past

August 31, 2021 - May 27, 2022

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

Marlton, NJ

Past

October 5, 2018 - November 21, 2019

HSBC SECURITIES (USA) INC.

CRD#: 19585

PHILADELPHIA, PA

Past

May 27, 2013 - November 17, 2017

HSBC SECURITIES (USA) INC.

CRD#: 19585

PHILADELPHIA, PA

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
(2/4/2026)

Alaska
(2/4/2026)

Arizona
(2/4/2026)

Arkansas
(2/4/2026)

California
(2/4/2026)

Colorado
(2/4/2026)

Connecticut
(2/4/2026)

Delaware
(2/4/2026)

District of Columbia
(2/4/2026)

Florida
(2/4/2026)

Georgia
(2/4/2026)

Hawaii
(2/4/2026)

Idaho
(2/4/2026)

Illinois
(2/4/2026)

Indiana
(2/4/2026)

Iowa
(2/4/2026)

Kansas
(2/4/2026)

Kentucky
(2/4/2026)

Louisiana
(2/4/2026)

Maine
(2/4/2026)

Maryland
(2/4/2026)

Massachusetts
(2/4/2026)

Michigan
(2/4/2026)

Minnesota
(2/4/2026)

Mississippi
(2/4/2026)

Missouri
(2/4/2026)

Montana
(2/4/2026)

Nebraska
(2/4/2026)

Nevada
(2/4/2026)

New Hampshire
(2/4/2026)

New Jersey
(2/4/2026)

IAR

New Jersey
(2/4/2026)

New Mexico
(2/4/2026)

New York
(2/4/2026)

North Carolina
(2/4/2026)

North Dakota
(2/4/2026)

Ohio
(2/4/2026)

Oklahoma
(2/4/2026)

Oregon
(2/4/2026)

Pennsylvania
(2/4/2026)

IAR

Pennsylvania
(2/4/2026)

Puerto Rico
(2/4/2026)

Rhode Island
(2/4/2026)

South Carolina
(2/4/2026)

South Dakota
(2/4/2026)

Tennessee
(2/4/2026)

Texas
(2/4/2026)

IAR

Texas
(2/4/2026)

Utah
(2/4/2026)

Vermont
(2/4/2026)

Virgin Islands
(2/4/2026)

Virginia
(2/4/2026)

Washington
(2/4/2026)

West Virginia
(2/4/2026)

Wisconsin
(2/4/2026)

Wyoming
(2/4/2026)

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 65

Date: 8/31/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/7/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/19/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/24/2013

Investment Company Products/Variable Contracts Representative 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

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 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

Jimmy To

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jimmy To's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

TD PRIVATE CLIENT WEALTH LLC

TD PRIVATE CLIENT WEALTH LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/2021

Series 63

Date: 6/7/2013

Series 7TO

Date: 8/19/2022

SIE

Date: 11/17/2017

Series 6

Date: 5/24/2013

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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