Elbert C. Smalls

WINYAH FINANCIAL SERVICES

Girdletree, MD

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CRD#: 1181701

Professional summary

Elbert Clinton Smalls, who also goes by Al Smalls, is a registered financial advisor currently at WINYAH FINANCIAL SERVICES, LLC located in Girdletree, Maryland.

Elbert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Elbert has worked at 3 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Al Smalls

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) - RIA

Click below to view Elbert Clinton Smalls's CRS (Customer Relationship Summary).

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

Current

January 3, 2006 - Present

WINYAH FINANCIAL SERVICES, LLC

RIA

CRD#: 136690

Girdletree, MD

Past

January 26, 1984 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

January 26, 1984 - October 7, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

South Carolina
(2/21/2025)

IAR

Texas
(4/8/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/14/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/2/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 3/31/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/25/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WINYAH FINANCIAL SERVICES, LLC

SUN FINANCIAL SERVICES, INC. | WINYAH FINANCIAL SERVICES, LLC

CRD#: 136690 / SEC#:

Delaware

Registered Investment Advisory firm - (4/6/2020 Terminated)

Maryland

Registered Investment Advisory firm - (9/10/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/17/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (2/21/2025 Approved)

Texas

Registered Investment Advisory firm - (4/8/2020 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Georgetown, SC

Mailing Address

Phone number

(302) 539-3360

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	8
AUM (Assets Under Management)	$ 2,619,000

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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Elbert C. Smalls

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elbert Clinton Smalls's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINYAH FINANCIAL SERVICES, LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/14/2005

Series 63

Date: 5/2/1990

Series 22

Date: 3/31/1989

Series 6

Date: 1/25/1984

Current Firm

WINYAH FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WINYAH FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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