RM
Robert D. Marks
SMALLWOOD WEALTH MANAGEMENT
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 6821354
RM
Professional summary
Robert Daniel Marks, who also goes by Rob Marks, Robert Daniel Marks, 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.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Robert has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Marks | Robert Daniel Marks
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.
Business Name: Smallwood Wealth Management - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ 07701 - Nature of Business: Registered Rep Activities through Regulus Financial Group, LLC using a DBA name; Investment Advisory Activities through Smallwood Wealth Investment Management, LLC using a DBA name - Title or Relationship: Registered Representative/Investment Advisor Representative - Start Date: 8/2021 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide financial services. Business Name: Smallwood Associates, LTD - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ 07701 - Nature of Business: Insurance - Title or Relationship: Insurance Agent - Start Date: 7/2019 - Hours per month: 80 - Hours per month during trading hours: 70 - Duties: Provide insurance services.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Daniel Marks'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®
NoneExperience
Current
May 23, 2022 - Present
SMALLWOOD WEALTH MANAGEMENT
Office #1: 199 Broad Street, Red Bank, NJ 07701RIA
CRD#: 288663
Red Bank, NJ
Current
February 17, 2025 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 199 Broad St, Red Bank, NJ 07701BD
CRD#: 150631
Red Bank, NJ
Past
May 22, 2021 - March 3, 2025
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Red Bank, NJ
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".
SW
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.RR
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
IAR
New Jersey(5/23/2022)
RR
New Jersey(2/17/2025)
RR
New Mexico(3/11/2025)
IAR
Pennsylvania(3/1/2024)
RR
Tennessee(10/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/22/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SMALLWOOD WEALTH MANAGEMENT
SMALLWOOD ASSOCIATES, LTD | SMALLWOOD WEALTH MANAGEMENT | SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC
CRD#: 288663 / SEC#: 801-110658
RIA
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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
12
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 406 |
| AUM (Assets Under Management) | $ 294,528,469 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
