John L. Smallwood

SMALLWOOD WEALTH MANAGEMENT

Red Bank, NJ 07701

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CRD#: 2132725

Professional summary

John Lewis Smallwood, CFP® is a registered financial advisor currently at SMALLWOOD WEALTH MANAGEMENT located in Red Bank, New Jersey and REGULUS FINANCIAL GROUP, LLC located in Red Bank, New Jersey.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. John has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view John Lewis 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®

CFP^®

Certified Financial Planner

Start date: 1993

Experience

Current

July 7, 2017 - Present

SMALLWOOD WEALTH MANAGEMENT

Office #1: 199 Broad Street, Red Bank, NJ 07701

RIA

CRD#: 288663

Red Bank, NJ

Current

February 17, 2025 - Present

REGULUS FINANCIAL GROUP, LLC

Office #1: 199 Broad St, Red Bank, NJ 07701

CRD#: 150631

Red Bank, NJ

Past

November 9, 2016 - August 25, 2017

VESTGEN INVESTMENT MANAGEMENT

RIA

CRD#: 118851

EGG HARBOR TWP., NJ

Past

November 8, 2016 - March 3, 2025

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Red Bank, NJ

Past

May 16, 2011 - November 8, 2016

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Red Bank, NJ

Past

May 16, 2011 - November 8, 2016

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Red Bank, NJ

Past

July 22, 2008 - May 17, 2011

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SHREWSBURY, NJ

Past

July 22, 2008 - May 17, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

SHREWSBURY, NJ

Past

November 1, 2004 - November 29, 2005

SMALLWOOD CAPITAL MANAGEMENT

RIA

CRD#: 125640

SHREWSBURY, NJ

Past

January 1, 2004 - August 6, 2008

CETERA ADVISORS LLC

RIA

CRD#: 10299

SHREWSBURY, NJ

Past

January 1, 2004 - August 6, 2008

CETERA ADVISORS LLC

CRD#: 10299

SHREWSBURY, NJ

Past

May 30, 2002 - January 1, 2004

VESTAX SECURITIES CORPORATION

RIA

CRD#: 10332

SHREWSBURY, NJ

Past

May 27, 1999 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

September 3, 1997 - June 8, 1999

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

June 24, 1991 - September 5, 1997

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

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".

SMALLWOOD WEALTH MANAGEMENT

SMALLWOOD ASSOCIATES, LTD | SMALLWOOD WEALTH MANAGEMENT | SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC

CRD#: 288663 / SEC#: 801-110658

RIA

Registered Investment Advisory firm - (6/16/2017 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(2/17/2025)

California
(2/17/2025)

Connecticut
(2/17/2025)

Delaware
(3/3/2025)

District of Columbia
(2/17/2025)

Florida
(2/17/2025)

Georgia
(2/17/2025)

Louisiana
(2/17/2025)

Maine
(2/17/2025)

Maryland
(11/4/2025)

Massachusetts
(2/19/2025)

New Hampshire
(2/17/2025)

IAR

New Jersey
(7/7/2017)

New Jersey
(2/17/2025)

New Mexico
(3/14/2025)

New York
(2/17/2025)

IAR

New York
(4/17/2025)

North Carolina
(2/17/2025)

Ohio
(2/17/2025)

Pennsylvania
(2/17/2025)

IAR

Pennsylvania
(4/18/2025)

South Carolina
(2/17/2025)

IAR

South Carolina
(4/24/2025)

Tennessee
(10/30/2025)

IAR

Texas
(2/26/2021)

Texas
(2/17/2025)

Utah
(2/17/2025)

Virginia
(2/17/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/9/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/28/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/19/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/22/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SMALLWOOD WEALTH MANAGEMENT

SMALLWOOD ASSOCIATES, LTD | SMALLWOOD WEALTH MANAGEMENT | SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC

CRD#: 288663 / SEC#: 801-110658

RIA

Registered Investment Advisory firm - (6/16/2017 Approved)

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Contact information

Main Address

199 Broad Street, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 542-1565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC (11/26/2025)

WRAP FEE BROCHURE- SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC (11/26/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 294,528,469

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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Advisor Monitoring

Firm Stability Insights

John L. Smallwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lewis Smallwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMALLWOOD WEALTH MANAGEMENT

REGULUS FINANCIAL GROUP, LLC

VESTGEN INVESTMENT MANAGEMENT

PURSHE KAPLAN STERLING INVESTMENTS

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

SMALLWOOD CAPITAL MANAGEMENT

CETERA ADVISORS LLC

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

VESTAX SECURITIES CORPORATION

LPL FINANCIAL LLC

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

SMALLWOOD WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2006

Series 63

Date: 9/28/1992

SIE

Date: 10/1/2018

Series 31

Date: 12/19/2008

Series 7

Date: 6/22/1991

FINRA

Current Firm

SMALLWOOD WEALTH MANAGEMENT

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMALLWOOD WEALTH MANAGEMENT

TRUST BUT VERIFY

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