Thomas Smallets, financial advisor Malvern PA

Thomas Smallets

CRD Number: 6747376
Current Firm: Vanguard Advisers, Inc.

Thomas Smallets (CRD# 6747376) is an Investment Advisor Representative working at Vanguard Advisers, Inc. in Malvern, PA and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
The Vanguard Group, Inc. Malvern, PA Jan 2017 - Current 3
Unemployed Phoenixville, PA Dec 2016 - Jan 2017 < 1
Texas Roadhouse Selinsgrove, PA Jul 2015 - Dec 2016 1
Bloomsburg University Of Pennsylvania Bloomsburg, PA Jan 2014 - Dec 2016 2
Pedersen Worldwide Companies San Francisco, CA May 2016 - Aug 2016 < 1
Bon-ton Department Store Selinsgrove, PA Oct 2013 - Jul 2015 1
Knoebels Amusement Resort Elysburg, PA Jun 2009 - Oct 2013 4
Pennsylvania State University University Park, PA Jun 2011 - May 2013 1
Unemployed Shamokin, PA Aug 2011 - Jun 2012 < 1
Barnes & Noble Booksellers State College, PA Aug 2011 - Aug 2011 < 1
Shamokin Area Jr.-sr. High School Coal Township, PA Aug 2006 - Jun 2011 4
Luzerne County Community College Shamokin, PA Aug 2010 - May 2011 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2017
S66 NASAA Uniform Combined State Law Examination Oct 2019
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Thomas M. Smallets
Phone Number: 610-669-1000
Registered State(s):
  • PA
  • TX
By the Numbers
  • Total Assets Under Management
    221,045
    MILLIONS
  • Total Number of Accounts
    452,542
    ACCOUNTS
  • Average Account Value
    $488,452
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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