JS
James C. Smallwood
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CRD#: 2439917
JS
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.
James Callaway Smallwood JR, who also goes by James Callaway Smallwood, Jim Callaway Smallwood, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Callaway Smallwood | Jim Callaway 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. 10/03/2014: McKinlay Smallwood Financial Partners LLC dba Verus Essential Retirement Strategies - Business Entity For Tax/Investment Purposes Only - INV REL - Start 06/17/2008 - 8055 E Tufts Avenue, Suite 1000, Denver, CO 80237 - This business employs the staff of James C. Smallwood and Patterson McKinlay. It does not earn revenue. - No Time Spent 2. 10/03/2014: Moody Insurance Agency - Insurance Agency - INV REL - Start 01/01/2011 - 8055 E Tufts Ave., Suite 1000, Denver, CO 80237 - Insurance sales - medical, dental, life, vision, disability, p&c - 90% Time Spent 3. 10/07/2014: Gottschalk Farms LLC - Other - Farming/Ranching - NOT INV REL - Start 06/24/20011 - 616 Munjor Road, Hays, KS 67601 - Farming/Ranching/Oil/Gas Production; Landlord - 1% Time Spent 4. 11/24/2014: Global Retirement Partners - Registered Investment Advisor Hybrid - (Hybrid) Global Retirement Partners - INV REL - 4340 Redwood Highway, Suite B-60, San Rafael, CA 94903 - Advisor will serve as an Investment Advisor Representative under the Global Retirement Partners RIA. Activities may include financial planning, rendering investment advice for a fee, retirement plan consulting, or other related financial consulting. - 10% Time Spent 5. 10/20/2015: Achieve Retirement - DBA for LPL Business (entity for LPL business) - Achieve Retirement - INV REL - Start 11/01/2015 - 8055 E Tufts Avenue, Suite 1000, Denver CO 80237 - 40 Hr/Mo; 40 Hours During Securities Trading 6. 6/1/2021 - Achieve Retirement - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 11/01/2015 - 40 Hours Per Month During Securities Trading. 7. 04/25/2023 - James C. Smallwood Jr. LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date 10/01/2022 - 0 Hours Per Month/0 Hours During Securities Trading
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®
NoneExperience
Past
April 28, 2018 - October 8, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
DENVER, CO
Past
October 28, 2014 - August 19, 2025
GLOBAL RETIREMENT PARTNERS LLC
RIA
CRD#: 172011
DENVER, CO
Past
October 2, 2014 - August 29, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
DENVER, CO
Past
October 15, 2010 - December 24, 2014
FINANCIAL TELESIS INC
RIA
CRD#: 31012
DENVER, CO
Past
October 15, 2010 - December 3, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
DENVER, CO
Past
August 1, 2005 - October 19, 2010
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
DENVER, CO
Past
June 23, 2004 - October 19, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
DENVER, CO
Past
January 1, 1999 - April 21, 2004
OSAIC FA, INC.
RIA
CRD#: 3978
DENVER, CO
Past
January 17, 1994 - April 21, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
January 17, 1994 - April 21, 2004
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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".
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
