James Theodore Smalling

Employer firm

Allworth Financial, L.p. CRD 111167

$33.6B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Allworth Financial, L.P.

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2014-01-16

CA RA
APPROVED

Since 2014-01-16

Branch Locations

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Allworth Financial, L.P.	Sacramento	CA	01/2014	Present
Aw Securities	Sacramento	CA	01/2014	Present

01/2014 → Present

Allworth Financial, L.P.

Sacramento, CA
01/2014 → Present

Aw Securities

Sacramento, CA

Previous Registrations

2013-10-08 → 2014-01-09

Pathway Strategic Advisors

Folsom, CA
2013-09-09 → 2013-09-25

Principal Securities, Inc.

Elk Grove, CA

Roseville, CA

Other Businesses

Wildhawk Golf Course Player's Association Men's Club - not investment related - Sacramento, CA - Treasurer - 1/1/2025 - approximately 5 hours per month, none during trading hours, assisting with tournaments and events.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-09-06
S63	Uniform Securities Agent State Law Examination	2011-11-17

S65 Uniform Investment Adviser Law Examination

2013-09-06
S63 Uniform Securities Agent State Law Examination

2011-11-17

Designations

Certified Financial Planner

Other Names

Ted Smalling

View on SEC IAPD