PS
Paul A. Smallwood
GATEWAY WEALTH PARTNERS
Traverse City, MI 49684-4570
Some features on this profile are disabled
CRD#: 7047845
PS
Professional summary
Paul Allen Smallwood, CFP®, who also goes by Paul Smallwood, is a registered financial advisor currently at GATEWAY WEALTH PARTNERS, LLC located in Traverse City, Michigan and LPL FINANCIAL LLC located in Traverse City, Michigan.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Paul has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul 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) Gateway Financial Partners, LLC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s). 2) Smallwood & Company, CPAPLLC; Inv. Related; address - Traverse City, Michigan; Nature - Practice of Certified Public Accountants; Relationship - Shareholder; Start date 09/22/2008; Hours per Month Devoted - 140 hrs per month; Hours per Month Devoted Dring Securities Trading Hours - 140 hrs per month; Duties - Tax compliance, planning and advisor services, management consulting, accounting, bookkeeping, payroll services to individuals and businesses. 3) 08/02/2023 - Gateway Wealth Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid- IAR - Start Date 6/26/2023 - 160 Hours Per Month/ 8 Hours During Trading - Time Spent 100% - I provide investment advisory services through Gateway Wealth Partners, LLC, an independent investment advisor firm. I started this business activity in 06/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Allen 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®
Experience
Current
July 25, 2023 - Present
GATEWAY WEALTH PARTNERS, LLC
Office #1: 3409 Veterans Dr. Ste. 2, Traverse City, MI 49684-4570RIA
CRD#: 322789
Traverse City, MI
Current
July 20, 2023 - Present
LPL FINANCIAL LLC
Office #1: 3409 Veterans Dr, Ste 2, Traverse City, MI 49684RIA
BD
CRD#: 6413
TRAVERSE CITY, MI
Past
May 29, 2019 - July 25, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
TRAVERSE CITY, MI
Past
May 28, 2019 - July 25, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
TRAVERSE CITY, MI
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".
GW
GATEWAY WEALTH PARTNERS, LLC
ADVISORS' PRIDE | WEALTH GUARDIAN ADVISORS | UNION RETIREMENT | THORSEN WEALTH MANAGEMENT | PENNELL WEALTH ADVISORS | MCCLONE RETIREMENT ADVISORS | INTEGRATED WEALTH PARTNERS | HAGEN WEALTH MANAGEMENT | GATEWAY WEALTH PARTNERS, LLC | GATEWAY FINANCIAL PARTNERS, LLC | FORETHOUGHT PLANNING | FINANCIAL RESOURCE SERVICES | FINANCIAL ADVISORS INC. | BOBER WEALTH MANAGEMENT COMPANY
CRD#: 322789 / SEC#: 801-126635
RIA
Registered Investment Advisory firm - (9/26/2022 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
RR
California(7/20/2023)
RR
Colorado(7/20/2023)
RR
Florida(7/25/2023)
RR
Illinois(7/20/2023)
RR
Iowa(7/20/2023)
RR
Maryland(7/20/2023)
RR
Michigan(7/24/2023)
IAR
Michigan(7/25/2023)
RR
Minnesota(7/20/2023)
RR
Ohio(6/16/2025)
RR
Wisconsin(7/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/2/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/28/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GATEWAY WEALTH PARTNERS, LLC
ADVISORS' PRIDE | WEALTH GUARDIAN ADVISORS | UNION RETIREMENT | THORSEN WEALTH MANAGEMENT | PENNELL WEALTH ADVISORS | MCCLONE RETIREMENT ADVISORS | INTEGRATED WEALTH PARTNERS | HAGEN WEALTH MANAGEMENT | GATEWAY WEALTH PARTNERS, LLC | GATEWAY FINANCIAL PARTNERS, LLC | FORETHOUGHT PLANNING | FINANCIAL RESOURCE SERVICES | FINANCIAL ADVISORS INC. | BOBER WEALTH MANAGEMENT COMPANY
CRD#: 322789 / SEC#: 801-126635
RIA
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Contact information
Main Address
100 W. Lawrence Street Suite 304, Appleton, WI 54911
Mailing Address
Phone number
(920) 731-9293
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,702 |
| AUM (Assets Under Management) | $ 1,249,772,416 |
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.
