Talk to sales Try for Free
Peter Smith

Peter Smith

Financial Advisor

Followers of Peter Smith562 followers
location of Peter SmithScottsdale, Arizona, United States

Connect with Peter Smith to Send Message

Connect

Connect with Peter Smith to Send Message

Connect

  • Timeline

  • About me

    Vanguard Communications Risk & Compliance Manager // Enhancing Business Results Through Risk Management

  • Education

    • Arizona State University - W. P. Carey School of Business

      2018 - 2020
      Master of Business Administration - MBA Logistics, Materials, and Supply Chain Management

      Professional Flex MBA Program

    • Arizona State University - W. P. Carey School of Business

      2011 - 2013
      Bachelor's degree Business Management

      Graduated at 20 years old. Studied business principals from the W P Carey School of Business. This includes Business Management, Economics, Accounting, Finance, and Marketing.

  • Experience

    • Chris Smith Investments

      May 2013 - Apr 2015
      Financial Advisor

      Business development and sales. Financial guidance for clients. Which includes, creating investment portfolios, maintaining relationships, and providing service to clients.

    • Vanguard

      Jun 2015 - now

      I manage a team of leaders responsible for the operations and risk mitigation of correspondence between Vanguard and its investors. I coach management to create an environment of continuous improvement. I led a team of High Net Worth Financial Representatives. High net worth relationship manager. Provide financial guidance, problem solving, and relationship management for our Flagship Services (1 million dollars or more in Vanguard Assets).

      • Communications Risk and Compliance Manager

        Sept 2021 - now

      • Lean Management Consultant

        May 2019 - Aug 2021

      • High Net Worth Leader

        Jun 2017 - Jun 2019

      • High Net Worth Client Relationship Administrator

        Jun 2016 - Jun 2017

      • High Net Worth Financial Representative

        Jun 2015 - Jun 2016

  • Licenses & Certifications

    • Six Sigma Green Belt (CSSGB)

      American Society for Quality (ASQ)
      Dec 2019

    • Series 7

      Financial Industry Regulatory Authority (FINRA)
      Jul 2013

    • Series 63

      Financial Industry Regulatory Authority (FINRA)
      Aug 2013

    • Six Sigma Black Belt (CSSBB)

      American Society for Quality (ASQ)
      Sept 2020

    • Series 24

      FINRA
      Sept 2021

    • Series 66

      FINRA
      Nov 2021

  • Honors & Awards

    • Awarded to Peter Smith
      Jack Bruen Morgan Wooten Award for Outstanding Leadership and Character Out of 500 Individuals

  • Volunteer Experience

    • Foster Parent

      Issued by Arizona on Oct 2014
      ArizonaAssociated with Peter Smith

    • Volunteer Tax Preparer

      Issued by VITA on Feb 2016
      VITAAssociated with Peter Smith