Donald W. 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.
Donald W Smallwood was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 2001. Donald had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2011 - December 31, 2016
AVANTAX ADVISORY SERVICES
February 9, 2011 - February 10, 2011
AVANTAX ADVISORY SERVICES
September 20, 2006 - December 31, 2016
AVANTAX INVESTMENT SERVICES, INC.
January 1, 2004 - September 21, 2006
VOYA FINANCIAL ADVISORS, INC.
October 23, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
October 1, 2002 - October 22, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
February 27, 2001 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
