John Smallwood is a CFP-designated registered investment advisor, based in Red Bank, NJ, with 35 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold.
Location
199 Broad Street, Red Bank, NJ, 07701
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Regulatory History (3)
Civil
August 2026Customer Dispute
January 2014Customer Dispute
September 2012Other Business ActivitiesSells Insurance
John is the owner/registered representative/investment advisor representative of Smallwood Wealth Management, dedicating nearly full-time hours to providing financial services. He is also a member/insurance agent of Smallwood Associates, LTD, spending about half his time providing insurance services, and owns several other businesses including a software development company, a financial education platform, and real estate.
Employment History
Current Registrations
Regulus Financial Group, LLCBroker
Smallwood Wealth Management
Previous Registrations
Hanlon Investment Management, INC.
Purshe Kaplan Sterling InvestmentsBroker
Commonwealth Financial NetworkBroker
Commonwealth Financial Network
Securities America Advisors, INC.
Securities America, INC.Broker
Smallwood Capital Management
Multi-Financial Securities Corporation
Multi-Financial Securities CorporationBroker
Vestax Securities Corporation
Vestax Securities CorporationBroker
Linsco/private Ledger CORP.Broker
Walnut Street Securities, INC.Broker
State Registrations23 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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