John Smallwood is a CFP-designated registered investment advisor, based in Red Bank, NJ, with 34 years of industry experience.
Location
199 Broad Street, Red Bank, NJ, 07701
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2014Settled
Customer Dispute
September 2012Settled
Other 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
February 2025 - Present · 1 yr 2 mos
Smallwood Wealth Management
July 2017 - Present · 8 yrs 9 mos
Previous Registrations
Hanlon Investment Management, INC.
November 2016 - August 2017 · 9 mos
Purshe Kaplan Sterling InvestmentsBroker
November 2016 - March 2025 · 8 yrs 4 mos
Commonwealth Financial NetworkBroker
May 2011 - November 2016 · 5 yrs 6 mos
Commonwealth Financial Network
May 2011 - November 2016 · 5 yrs 6 mos
Securities America Advisors, INC.
July 2008 - May 2011 · 2 yrs 10 mos
Securities America, INC.Broker
July 2008 - May 2011 · 2 yrs 10 mos
Smallwood Capital Management
November 2004 - November 2005 · 1 yr
Multi-Financial Securities Corporation
January 2004 - August 2008 · 4 yrs 7 mos
Multi-Financial Securities CorporationBroker
January 2004 - August 2008 · 4 yrs 7 mos
Vestax Securities Corporation
May 2002 - January 2004 · 1 yr 8 mos
Vestax Securities CorporationBroker
May 1999 - January 2004 · 4 yrs 8 mos
Linsco/private Ledger CORP.Broker
September 1997 - June 1999 · 1 yr 9 mos
Walnut Street Securities, INC.Broker
June 1991 - September 1997 · 6 yrs 3 mos
State Registrations23 states
AZCACTDCDEFLGALAMAMDMENCNHNJNMNYOHPASCTNTXUTVA
AdvisorBrokerBoth
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
No exam information available for this advisor.