Abby N. Smith

VANGUARD ADVISERS

SCOTTSDALE, AZ 85260

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CRD#: 6231335

Professional summary

Abby Nicole Smith, who also goes by Abby N Smith, Abby Smith, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Scottsdale, Arizona and VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.

Abby is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Abby has worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Aliases

Abby N Smith | Abby Smith

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 Abby Nicole Smith'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

July 2, 2026 - Present

VANGUARD ADVISERS, INC.

Office #1: 14321 North Northsight Blvd, Scottsdale, AZ 85260

RIA

CRD#: 106715

SCOTTSDALE, AZ

Current

July 2, 2026 - Present

VANGUARD MARKETING CORPORATION

Office #1: 14321 N Northsight Blvd, Scottsdale, AZ 85260

CRD#: 7452

SCOTTSDALE, AZ

Past

August 28, 2024 - January 21, 2026

MORGAN STANLEY

RIA

CRD#: 149777

GILBERT, AZ

Past

July 25, 2024 - January 21, 2026

MORGAN STANLEY

CRD#: 149777

GILBERT, AZ

Past

January 8, 2018 - July 8, 2020

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

Phoenix, AZ

Past

March 29, 2016 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

March 11, 2016 - June 26, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

September 2, 2015 - January 8, 2016

EDWARD JONES

RIA

CRD#: 250

SCOTTSDALE, AZ

Past

June 18, 2015 - January 8, 2016

EDWARD JONES

CRD#: 250

SCOTTSDALE, AZ

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
(7/7/2026)

Alaska
(7/7/2026)

IAR

Arizona
(7/2/2026)

Arizona
(7/6/2026)

California
(7/3/2026)

Colorado
(7/7/2026)

Connecticut
(7/7/2026)

Delaware
(7/7/2026)

District of Columbia
(7/2/2026)

Florida
(7/2/2026)

Georgia
(7/6/2026)

Idaho
(7/7/2026)

Illinois
(7/2/2026)

Iowa
(7/7/2026)

Kansas
(7/7/2026)

Kentucky
(7/2/2026)

Louisiana
(7/7/2026)

Maine
(7/7/2026)

Massachusetts
(7/3/2026)

Michigan
(7/2/2026)

Minnesota
(7/2/2026)

Mississippi
(7/2/2026)

Missouri
(7/6/2026)

Montana
(7/2/2026)

Nebraska
(7/2/2026)

Nevada
(7/7/2026)

New Jersey
(7/2/2026)

New Mexico
(7/7/2026)

North Carolina
(7/7/2026)

Ohio
(7/2/2026)

Oklahoma
(7/2/2026)

Pennsylvania
(7/7/2026)

Rhode Island
(7/7/2026)

South Carolina
(7/2/2026)

South Dakota
(7/2/2026)

Tennessee
(7/7/2026)

Texas
(7/2/2026)

IAR

Texas
(7/2/2026)

Utah
(7/6/2026)

Vermont
(7/2/2026)

Washington
(7/2/2026)

Wisconsin
(7/2/2026)

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 66

Date: 8/26/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/27/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/2015

General Securities 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

Abby N. Smith

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Abby Nicole Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

MORGAN STANLEY

MORGAN STANLEY

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2024

Series 7TO

Date: 3/27/2024

SIE

Date: 10/1/2018

Series 7

Date: 6/18/2015

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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