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Winston Hale Smith

Vanguard Advisers, Inc.

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About Winston Hale Smith

Winston Hale Smith is a financial advisor with Vanguard Advisers, Inc. Winston has been in the industry since May 16, 2002. Winston holds Series 6, 7, 63 and 66 securities licenses as well as the SIE. Winston has been registered with Vanguard Advisers, Inc. since May 2013 and previously held registrations with Wachovia Securities, LLC and First Union Brokerage Services, Inc. Winston specializes in providing financial planning services, selecting other advisors, and portfolio management for individuals, businesses, and pooled investment vehicles. Winston currently holds registrations with the states of North Carolina and Texas.

Firm Information

Winston Smith is currently registered with Vanguard Advisers, Inc.. Vanguard Advisers, Inc. is a registered investment advisor headquartered in Malvern, Pennsylvania. With a focus on portfolio management for individuals, businesses, and pooled investment vehicles, the firm offers comprehensive financial planning services and specializes in selecting other advisors. Vanguard Advisers manages over $333 billion in assets for clients, including high-net-worth individuals, charitable organizations, and pension and profit-sharing plans. The firm has a strong online presence, with active profiles on LinkedIn, Facebook, Instagram, YouTube, Reddit, and Twitter.
Vanguard Advisers, Inc.

100 VANGUARD BLVD

MALVERN, PA 19355

$333.07B

Assets Under Management

151,862

Total Clients

2,326

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Winston Smith’s Registration & Firm History

NC

11/01/2019 - Present

Vanguard Advisers, Inc. (CHARLOTTE NC)

NC

10/01/2000 - 01/06/2009

WACHOVIA SECURITIES, LLC (CHARLOTTE NC)

NC

12/18/1997 - 10/01/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

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Licenses & Designations

BOTH

Issued 10/02/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/18/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/05/2013

Series 7 - General Securities Representative Examination

BC

Issued 12/17/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Winston Hale Smith.
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