Christopher J. Smallwood

SMALLWOOD WEALTH MANAGEMENT

Red Bank, NJ 07701

Some features on this profile are disabled

CRD#: 7135121

Professional summary

Christopher James Smallwood, who also goes by Christopher James Smallwood, Chris Smallwood, Christopher J. Smallwood, Christopher Smallwood, 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.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Christopher has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher James Smallwood | Chris Smallwood | Christopher J. Smallwood | Christopher 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.

Business Name: Smallwood Wealth Management - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ - 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: 06/2022 - 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 - Nature of Business: Insurance - Title or Relationship: Insurance Agent - Start Date: 06/2022 - Hours per month: 0 - Hours per month during trading hours: 0 - Duties: Provide insurance services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher James Smallwood's CRS (Customer Relationship Summary).

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 15, 2023 - Present

SMALLWOOD WEALTH MANAGEMENT

Office #1: 199 Broad Street, Red Bank, NJ 07701

RIA

CRD#: 288663

Red Bank, NJ

Current

February 17, 2025 - Present

REGULUS FINANCIAL GROUP, LLC

Office #1: 199 Broad St, Red Bank, NJ 07701

CRD#: 150631

Red Bank, NJ

Past

November 18, 2022 - March 3, 2025

PURSHE KAPLAN STERLING INVESTMENTS

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".

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.

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

California
(2/17/2025)

Connecticut
(2/17/2025)

Florida
(2/17/2025)

Illinois
(2/17/2025)

Louisiana
(2/17/2025)

Massachusetts
(2/17/2025)

IAR

New Jersey
(3/15/2023)

New Jersey
(2/17/2025)

New York
(2/17/2025)

IAR

North Carolina
(6/6/2024)

North Carolina
(2/17/2025)

Pennsylvania
(2/17/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/14/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/18/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/28/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC (8/18/2025)

WRAP FEE BROCHURE- SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC (4/9/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 294,528,469

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.

Similar Advisors

Fernando Rivera

WELLS FARGO CLEARING SERVICES, LLC

IAR

East Brunswick, NJ

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

IAR

South Ozone Park, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher J. Smallwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher James Smallwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMALLWOOD WEALTH MANAGEMENT

REGULUS FINANCIAL GROUP, LLC

PURSHE KAPLAN STERLING INVESTMENTS

Primary Firm SEC Registration

SMALLWOOD WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/14/2023

Series 7TO

Date: 11/18/2022

SIE

Date: 7/28/2022

FINRA

Current Firm

SMALLWOOD WEALTH MANAGEMENT

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMALLWOOD WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors