Lonn J. Smallwood

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CRD#: 1019167

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lonn Justin Smallwood was a registered financial professional .

Lonn is a previously registered financial professional and started their career in finance in 1981. Lonn had worked at 12 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 16, 2003 - October 8, 2003

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

DALLAS, TX

Past

October 4, 2001 - October 26, 2001

RICHMARK CAPITAL CORPORATION

CRD#: 43162

IRVING, TX

Past

November 3, 1995 - February 29, 2000

CAMBRIDGE FINANCIAL CORPORATION

CRD#: 28258

DALLAS, TX

Past

September 12, 1994 - December 31, 1994

RETIREMENT INVESTMENT GROUP

CRD#: 7421

HOUSTON, TX

Past

May 29, 1991 - March 7, 1994

KINLAW SECURITIES CORPORATION

CRD#: 18448

DALLAS, TX

Past

August 3, 1990 - April 23, 1991

EQUITILINK U.S.A., INC.

CRD#: 24935

Past

December 12, 1989 - June 29, 1990

LAKERIDGE CAPITAL INC.

CRD#: 25005

ONTARIO,

Past

February 23, 1989 - July 20, 1990

ASKAR CORP.

CRD#: 7512

BLOOMINGTON, MN

Past

April 1, 1986 - February 14, 1989

DICKINSON & CO.

CRD#: 689

Past

November 18, 1983 - April 4, 1986

ASKAR CORP.

CRD#: 7512

Past

November 26, 1981 - October 31, 1983

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

November 26, 1981 - October 31, 1983

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

November 26, 1981 - October 31, 1983

IDS LIFE INSURANCE COMPANY

CRD#: 6321

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/24/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/9/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/20/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/25/1996

General Securities Principal Examination

Current Firm

SALOMON GREY FINANCIAL CORPORATION

RRK SECURITIES | SALOMON GREY FINANCIAL CORPORATION | SALOMON GREY FINANCIAL | RRK SECURITIES, INC.

CRD#: 43413 / SEC#: , 8-50268

Revoked by SEC on 06/01/2006

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Contact information

Main Address

Mailing Address

Phone number

Established

Texas since 09/22/1997

Firm type

Corporation

Fiscal year end

September

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SALOMON GREY FINANCIAL GROUP, INC.	75.1% SHAREHOLDER
ROBAR LLC	24.9% DIRECT OWNER
CAROTHERS, SCOTT WILLIAM	FINANCIAL PRINCIPAL/FINOP
EDWARDS, GRANT ALAN	EXECUTIVE VICE PRESIDENT, DIRECTOR OF TRADING	2745376
ROWE, KYLE BROWNING	CHAIRMAN AND VICE-PRESIDENT, OWNER	2310978
SUTTON, KELLY	SROP	2033974

Disclosures

Regulatory Event	5
Civil Event	1
Arbitration	5
Financial	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Lonn J. Smallwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RICHMARK CAPITAL CORPORATION

CAMBRIDGE FINANCIAL CORPORATION

RETIREMENT INVESTMENT GROUP

KINLAW SECURITIES CORPORATION

EQUITILINK U.S.A., INC.

LAKERIDGE CAPITAL INC.

ASKAR CORP.

DICKINSON & CO.

ASKAR CORP.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 11/24/1981

Series 7

Date: 4/19/1986

Series 22

Date: 1/9/1984

Series 6

Date: 11/20/1981

Series 24

Date: 3/25/1996

Current Firm

SALOMON GREY FINANCIAL CORPORATION

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SALOMON GREY FINANCIAL CORPORATION

TRUST BUT VERIFY

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