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Trevor James Smallwood

Clinton Investment Management, LLC

Stamford, CT

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Current Employers
Clinton Investment Management, Llc

333 Ludlow Street South Tower, 8Th Floor, Stamford, CT 06902 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-04-08
  • CT RA
    APPROVED
    Since 2024-04-08

Branch Locations

333 Ludlow Street South Tower, 8Th Floor, Stamford, CT 06902 • 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
OrganizationCityStateFromTo
Brandes Investment Partners, L.P. San Diego CA 10/2012 11/2020
Alps Distributors, Inc. Denver CO 09/2015 12/2020
Waycross Partners, Llc Ponte Vedra Beach FL 10/2021 06/2022
Unemployed Ponte Vedra Beach FL 12/2020 10/2021
Focus Distribution, Llc Ponte Vedra Beach FL 01/2023 10/2023
Foreside Fund Services, Llc Ponte Vedra Beach FL 05/2023 10/2023
Unemployed Ponte Vedra Beach FL 07/2022 01/2023
Clinton Investment Management, Llc Stamford CT 02/2024 Present
Unemployed Ponte Vedra Beach FL 11/2023 01/2024
  • 10/2012 → 11/2020
    Brandes Investment Partners, L.P.
    San Diego, CA
  • 09/2015 → 12/2020
    Alps Distributors, Inc.
    Denver, CO
  • 10/2021 → 06/2022
    Waycross Partners, Llc
    Ponte Vedra Beach, FL
  • 12/2020 → 10/2021
    Unemployed
    Ponte Vedra Beach, FL
  • 01/2023 → 10/2023
    Focus Distribution, Llc
    Ponte Vedra Beach, FL
  • 05/2023 → 10/2023
    Foreside Fund Services, Llc
    Ponte Vedra Beach, FL
  • 07/2022 → 01/2023
    Unemployed
    Ponte Vedra Beach, FL
  • 02/2024 → Present
    Clinton Investment Management, Llc
    Stamford, CT
  • 11/2023 → 01/2024
    Unemployed
    Ponte Vedra Beach, FL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-04-08
S63 Uniform Securities Agent State Law Examination 2013-09-06
S66 Uniform Combined State Law Examination 2001-11-08
  • S65 Uniform Investment Adviser Law Examination
    2024-04-08
  • S63 Uniform Securities Agent State Law Examination
    2013-09-06
  • S66 Uniform Combined State Law Examination
    2001-11-08

View on SEC IAPD

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