Kevin D. Smallwood

SMALLWOOD FINANCIAL GROUP LLC

Summit, NJ 07901

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CRD#: 4712150

Professional summary

Kevin David Smallwood, who also goes by Kevin D. Smallwood, is a registered financial advisor currently at SMALLWOOD FINANCIAL GROUP LLC located in Summit, New Jersey.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kevin has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin D. 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.

Payroll and HR Solution Services; Non Investment-Related; 54 Broad Street., Suite 205, Red Bank, NJ 07701; Consultant; Provide clients access to third-party payroll, HR, Time management cloud-based solutions; 2013 - Present

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin David Smallwood's 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

March 12, 2020 - Present

SMALLWOOD FINANCIAL GROUP LLC

Office #1: 160 Summit Ave. #203, Summit, NJ 07901

RIA

CRD#: 305790

Summit, NJ

Past

June 14, 2006 - December 31, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Summit, NJ

Past

June 14, 2006 - December 31, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Summit, NJ

Past

June 5, 2006 - July 13, 2006

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

SUMMIT, NJ

Past

April 6, 2006 - July 3, 2006

INVESTACORP, INC.

CRD#: 7684

SUMMIT, NJ

Past

February 28, 2004 - March 16, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JERSEY CITY, NJ

Past

January 12, 2004 - March 16, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JERSEY CITY, NJ

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

New Jersey
(3/12/2020)

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

IAR

Series 66

Date: 1/29/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/6/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/9/2004

General Securities Representative Examination

Current Firm

SMALLWOOD FINANCIAL GROUP LLC

CRD#: 305790 / SEC#:

New Jersey

Registered Investment Advisory firm - (3/12/2020 Approved)

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Contact information

Main Address

160 Summit Ave. #203, Summit, NJ 07901

Mailing Address

55 Union Place, Summit, NJ 07901

Phone number

(908) 988-4191

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	73
AUM (Assets Under Management)	$ 37,000,000

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

Kevin D. Smallwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin David Smallwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2004

SIE

Date: 10/1/2018

Series 31

Date: 3/6/2006

Series 7

Date: 1/9/2004

Current Firm

SMALLWOOD FINANCIAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SMALLWOOD FINANCIAL GROUP LLC

TRUST BUT VERIFY

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