John P. Smallwood
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.
John Pugh Smallwood was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 21 firms and has passed the Series 63, SIE, Series 31, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2016 - December 5, 2016
VESTGEN INVESTMENT MANAGEMENT
November 23, 2016 - November 30, 2016
PURSHE KAPLAN STERLING INVESTMENTS
May 18, 2011 - November 8, 2016
COMMONWEALTH FINANCIAL NETWORK
May 18, 2011 - November 8, 2016
COMMONWEALTH FINANCIAL NETWORK
July 22, 2008 - May 17, 2011
SECURITIES AMERICA ADVISORS, INC.
July 22, 2008 - May 17, 2011
SECURITIES AMERICA, INC.
November 1, 2004 - November 29, 2005
SMALLWOOD CAPITAL MANAGEMENT
January 1, 2004 - August 6, 2008
CETERA ADVISORS LLC
January 1, 2004 - August 6, 2008
CETERA ADVISORS LLC
October 24, 2002 - January 1, 2004
VESTAX SECURITIES CORPORATION
June 17, 1999 - March 1, 2000
LOCUST STREET SECURITIES, INC.
May 28, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
September 3, 1997 - June 8, 1999
LPL FINANCIAL LLC
January 22, 1990 - September 5, 1997
WALNUT STREET SECURITIES, INC.
February 22, 1988 - January 24, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
December 14, 1987 - February 23, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
June 9, 1982 - January 24, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 25, 1981 - December 28, 1982
CARDELL & ASSOCIATES, INCORPORATED
October 14, 1981 - November 19, 1981
INTEGRATED RESOURCES EQUITY CORPORATION
June 25, 1979 - September 3, 1981
CARDELL & ASSOCIATES, INCORPORATED
January 8, 1979 - September 20, 1979
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 8, 1977 - April 26, 1979
OLD SLIP CAPITAL MANAGEMENT, INC.
August 7, 1974 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
August 7, 1974 - August 9, 1977
HIMCO DISTRIBUTION SERVICES COMPANY
May 30, 1974 - March 8, 1977
CNA INVESTOR SERVICES, INC.
December 6, 1973 - August 10, 1974
SYMETRA SECURITIES, INC.
November 15, 1972 - January 12, 1974
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
VESTGEN INVESTMENT MANAGEMENT
CRD#: 118851 / SEC#: 801-60889
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 11/13/1972
Registered Representative ExaminationCurrent Firm
VESTGEN INVESTMENT MANAGEMENT
CRD#: 118851 / SEC#: 801-60889
Contact information
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,705 |
| AUM (Assets Under Management) | $ 705,329,658 |
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.
