Todd J. Smallwood

PROCYON

ATLANTA, GA

Some features on this profile are disabled

CRD#: 2131710

Professional summary

Todd Jones Smallwood, who also goes by Todd Jones Smallwood, is a registered financial advisor currently at PROCYON located in Atlanta, Georgia.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Todd has worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Todd Jones Smallwood

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.

1)Sugarloaf Wealth Management, LLC;investment related;2055 Sugarloaf Circle, Suite 200, Duluth, GA 30097;LLC;Chief Compliance Officer;6/6/2022;176 hrs/month;143 hrs during trading;chief compliance officer-provide comprehensive oversight of RIA compliance program

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Jones Smallwood's CRS (Customer Relationship Summary).

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

November 13, 2025 - Present

PROCYON

RIA

CRD#: 288239

ATLANTA, GA

Past

August 23, 2024 - March 14, 2025

OSAIC WEALTH, INC.

CRD#: 23131

DULUTH, GA

Past

July 6, 2022 - March 12, 2025

SUGARLOAF WEALTH MANAGEMENT, LLC

RIA

CRD#: 129602

Duluth, GA

Past

July 6, 2022 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

DULUTH, GA

Past

October 19, 2018 - July 12, 2022

TRIAD ADVISORS LLC

RIA

CRD#: 25803

DULUTH, GA

Past

April 1, 2016 - October 12, 2018

LINDNER CAPITAL ADVISORS, INC.

RIA

CRD#: 108584

MARIETTA, GA

Past

December 16, 2014 - February 18, 2016

CLEAR INVESTMENT RESEARCH, LLC

RIA

CRD#: 172685

ATLANTA, GA

Past

December 7, 2007 - December 31, 2008

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

July 15, 2005 - December 7, 2007

AT INVESTOR SERVICES, INC.

CRD#: 47837

NEW YORK, NY

Past

August 20, 1999 - July 15, 2005

GPC SECURITIES, INC.

CRD#: 14007

ATLANTA, GA

Past

April 3, 1991 - May 29, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

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

Georgia
(11/13/2025)

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

Series 63

Date: 12/30/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/13/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/6/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/11/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/7/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/1/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/2/2022

General Securities Principal Examination

Current Firm

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1 Corporate Drive Suite 225, Shelton, CT 06484

Mailing Address

Phone number

(475) 232-2704

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROCYON DISCLOSURE BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts	5,638
AUM (Assets Under Management)	$ 7,769,672,465

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Todd J. Smallwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Jones Smallwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SUGARLOAF WEALTH MANAGEMENT, LLC

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

LINDNER CAPITAL ADVISORS, INC.

CLEAR INVESTMENT RESEARCH, LLC

INVESCO DISTRIBUTORS, INC.

AT INVESTOR SERVICES, INC.

GPC SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PROCYON

State Registrations and Notice Filings

Exams

Series 63

Date: 12/30/2022

Series 65

Date: 12/13/2014

Series 7TO

Date: 7/6/2022

SIE

Date: 12/11/2019

Series 3

Date: 2/7/2002

Series 7

Date: 4/1/1991

Series 24

Date: 12/2/2022

Current Firm

PROCYON

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROCYON

TRUST BUT VERIFY

Similar Advisors