John Lewis Smallwood

Current Employers

Employment History

• 06/1990 → 10/2016
  Smallwood Associates Ltd
  Shrewsbury, NJ
• 06/1990 → 10/2016
  John L. Smallwood
  Shrewsbury, NJ
• 05/2011 → 10/2016
  Commonwealth Financial Network
  Waltham, MA
• 11/2016 → 02/2025
  Purshe Kaplan Sterling Investments
  Albany, NY
• 11/2016 → 10/2017
  Hanlon Investment Management D/B/A Smallwood Wealth Management
  Egg Harbor Township, NJ
• 06/2017 → Present
  Smallwood Associates, Ltd
  Red Bank, NJ
• 10/2017 → Present
  Smallwood Wealth Investment Management, Llc
  Red Bank, NJ
• 02/2025 → Present
  Regulus Financial Group, Llc
  Kentwood, MI

Previous Registrations

• 2016-11-09 → 2017-08-25
  Vestgen Investment Management
  Egg Harbor Twp., NJ
• 2011-05-16 → 2016-11-08
  Commonwealth Financial Network
  Waltham, MA
  Red Bank, NJ
• 2008-07-22 → 2011-05-17
  Securities America Advisors, Inc.
  Shrewsbury, NJ
• 2004-01-01 → 2008-08-06
  Cetera Advisors Llc
  Shrewsbury, NJ
  Shrewsbury, NJ
• 2004-11-01 → 2005-11-29
  Smallwood Capital Management
  Shrewsbury, NJ
• 2002-05-30 → 2004-01-01
  Vestax Securities Corporation
  Shrewsbury, NJ

Other Businesses

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: Owner/Registered Representative/Investment Advisor Representative - Start Date: 10/2017 - 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: Member/Insurance Agent - Start Date: 9/1998 - Hours per month: 80 - Hours per month during trading hours: 70 - Duties: Provide insurance services. Business Name: My Wealth Curve, LLC - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ 07701 - Nature of Business: Software Development - Title or Relationship: Owner - Start Date: 10/2020 - Hours per month: 10 - Hours per month during trading hours: 5 - Duties: Designing software to create financial plans. Business Name: Money Isn't - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ 07701 - Nature of Business: Financial Education - Title or Relationship: Owner - Start Date: 6/2016 - Hours per month: 20 - Hours per month during trading hours: 16 - Duties: Host YouTube channel and podcasting. Business Name: 199 Broad Street, LLC - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ 07701 - Nature of Business: Real Estate - Title or Relationship: Owner - Start Date: 9/2014 - Hours per month: 0 - Hours per month during trading hours: 0 - Duties: Owner. Business Name: 205 Broad Street, LLC - Investment Related: Yes - Address: 199 Broad St, Red Bank, NJ 07701 - Nature of Business: Real Estate - Title or Relationship: Owner - Start Date: 9/2014 - Hours per month: 0 - Hours per month during trading hours: 0 - Duties: Owner. Business Name: Supra Human - Investment Related: No - Address: N Pima Rd., Ste 140, Scottsdale, AZ 85255 - Nature of Business: Referral to health and fitness company - Title or Relationship: Ambassador - Start Date: 5/1/2023 - Hours per month: 1 - Hours per month during trading hours: 1 - Duties: Telling people about the work that Supra Human can do for them.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-05-09
• S63 Uniform Securities Agent State Law Examination
  1992-09-28

Designations