Edward E. Bao

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CRD#: 1281854

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.

Edward Edgar Bao JR, AIF®, CFP®, who also goes by Edward E Bao Jr, Edward Edgar Bao, was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 1988. Edward had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Income Management

Divorce Planning

Insurance Planning

Retirement Planning

Investment Planning

Estate Planning

Budgeting

Debt Management

Employee and Employer Plan Ben...

Elder Care

Education Planning

Comprehensive Financial Planni...

Are you a "fiduciary"?

Aliases

Edward E Bao Jr | Edward Edgar Bao

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.

Business Name: Smallwood Wealth Management - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ 07701 - Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC using a DBA name; Investment Advisory Activities through Smallwood Wealth Investment Management, LLC using a DBA name - Title or Relationship: Registered Representative/Investment Advisor Representative - Start Date: 10/2017 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial services. Business Name: Smallwood Associates, LTD - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ 07701 - Nature of Business: Insurance - Title or Relationship: Member/Insurance Agent - Start Date: 8/2018 - Hours per month: 80 - Hours per month during trading hours: 70 - Duties: Provide insurance services. Business Name: Educational Lane, LLC - Investment Related: No - Address: 641 Prospect Av, Little Silver, NJ 07739 - Nature of Business: Property Management - Title or Relationship: Sole Member - Start Date: 2/2024 - Hours per month: 3 - Hours per month during trading hours: 3 - Duties: Property management.

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Past

February 17, 2025 - November 7, 2025

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

Red Bank, NJ

Past

July 7, 2017 - October 29, 2025

SMALLWOOD WEALTH MANAGEMENT

RIA

CRD#: 288663

RED BANK, NJ

Past

November 8, 2016 - August 25, 2017

VESTGEN INVESTMENT MANAGEMENT

RIA

CRD#: 118851

EGG HARBOR TWP., NJ

Past

November 7, 2016 - March 3, 2025

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Red Bank, NJ

Past

May 18, 2011 - November 8, 2016

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Red Bank, NJ

Past

May 18, 2011 - November 8, 2016

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Red Bank, NJ

Past

January 8, 2009 - May 17, 2011

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LAVISTA, NE

Past

July 22, 2008 - May 17, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

SHREWSBURY, NJ

Past

November 27, 2001 - November 11, 2002

PAX CLEARING CORPORATION

CRD#: 104263

CHICAGO, IL

Past

October 29, 1998 - April 17, 2008

JEFFERIES EXECUTION SERVICES, INC.

CRD#: 867

NEW YORK, NY

Past

April 25, 1991 - April 21, 1995

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

August 25, 1988 - July 31, 1990

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

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

IAR

Series 66

Date: 12/10/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Current Firm

REGULUS FINANCIAL GROUP, LLC

REGULUS ADVISORS, LLC | REGULUS, LLC | REGULUS FINANCIAL GROUP, LLC

CRD#: 150631 / SEC#: , 8-68275

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

2687 44th Street, Se, Suite 101, Kentwood, MI 49512

Mailing Address

2687 44th Street, Se, Suite 101, Kentwood, MI 49512

Phone number

(616) 224-2204

Established

Michigan since 12/28/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
REGAL HOLDINGS OF AMERICA, LLC	MEMBER
CARLSON, DONALD NATE MR.	PRESIDENT	2903454
LUTTRULL, KELLEY	FINANCIAL OPERATIONS PRINCIPAL / CHIEF FINANCIAL OFFICER	7363208
VEENSTRA, JILL ANNE	CHIEF COMPLIANCE OFFICER/AMLCO	3222590

Disclosures

Regulatory Event

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Edward E. Bao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SMALLWOOD WEALTH MANAGEMENT

VESTGEN INVESTMENT MANAGEMENT

PURSHE KAPLAN STERLING INVESTMENTS

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

PAX CLEARING CORPORATION

JEFFERIES EXECUTION SERVICES, INC.

GRUNTAL & CO., L.L.C.

GRUNTAL & CO., L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1988

Current Firm

REGULUS FINANCIAL GROUP, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REGULUS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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