Smallwood Wealth
199 Broad Street
Red Bank, NJ 07701
7325421565
About Smallwood Wealth
The planning process is crucial to providing clients with the greatest probability of achieving their financial goals. We start by getting to know your ambitions, your needs, and the challenges you face, then we design a mutually agreed upon plan, set it in motion, and monitor it regularly to ensure that the plan evolves as you do.
Our aspiration is to construct a custom financial plan that strives to minimize your risk and taxes, grow your wealth, and help you achieve financial independence with the lifestyle you've dreamed of.
At Smallwood Wealth Management we are committed to empowering you on your journey towards financial freedom. Our dedicated team of financial advisors are here to guide you every step of the way, ensuring that your financial decisions align with your values and goals. We believe that financial well-being goes beyond mere numbers on a balance sheet - it is about creating a life of abundance and security that enables you to pursue your dreams.
Financial opportunities are abundant but navigating them can be complex. That's why our team of experienced professionals is dedicated to staying ahead of the latest market trends, investment strategies, and tax regulations. We keep a watchful eye on the ever-changing financial landscape, identifying opportunities that align with your goals and risk tolerance. We aim to help you capitalize on these opportunities and make informed decisions that will maximize your wealth.
See Disclosures
General Information
Firm Start Year
1989
No. of Employees
10-19
automated call
Yes
Firm CRD#
288663
States Licensed in
All
Years of Experience in Financial Services
35
Number of Years with Current Firm
35
Work with the following types of clients
Individual Investors, Non-Profit Organizations, Businesses
Advisory Services Provided
Investment Advice & Management, Financial Advice & Consulting, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Money Management
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CFP®, AIF®
Securities Licenses
Series 7, Series 66
Insurance and Annuity Licenses
Disability, Life, Long Term Care, Variable Life
Firm Information
Firm's Number of Clients
367
Firm's Number of Managed Clients
400
Assets Managed by Firm
262,000,000
Advisor's Number of Managed Clients
700
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$150,000
Compensation Methods
Flat Fee, Commissions, Based on Assets
Minimum Fee Charged for Managed Accounts
N/A
Minimum Fee Charged for Hourly Planning Accounts
N/A
Disclosures
RothIRA.org provides referrals to financial professionals. RothIRA.org is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for RothIRA.org to make these referrals, resulting in a conflict of interest.
Additional Detailed Disclosures
https://www.rothira.org/disclosure/1892633/rothira-Smallwood-Wealth-detailed-disclosure.html
Disclaimer
This communication strictly intended for individuals residing in the states of CA, CO, CT, DC, DE, FL, GA, IL, LA, MA, ME, NC, NH, NJ, NY, OH, PA, RI, SC, TX, UT, VA. No offers may be made or accepted from any resident outside these states due to various regulations and registration requirements regarding investment products and services. Investments are not FDIC- or NCUA-insured, are not guaranteed by a bank/financial institution, and are subject to risks, including possible loss of the principal invested. Fixed Insurance products and services offered through Ash Brokerage or Smallwood Associates, Ltd. Fixed Annuities are long-term insurance products. Before you purchase, be sure to talk to your financial professional about the annuitys features, benefits, and fees and whether the annuity is appropriate for you, based on your financial situation and objectives. All guarantees are based on the continued claims paying ability of the issuing company. Investment Advisory Services provided by Smallwood Wealth Investment Management, LLC, an SEC registered investment advisor. Headquartered at 199 Broad Street, Red Bank NJ 07701-2056 Securities offered through Purshe Kaplan Sterling Investments, Member FINRA/SIPC Headquartered at 80 State Street, Albany, NY 12207. Purshe Kaplan Sterling Investments and Smallwood Wealth Investment Management, LLC are not affiliated companies. NOT FDIC INSURED. NOT BANK GUARANTEED. MAY LOSE VALUE, INCLUDING LOSS OF PRINCIPAL. NOT INSURED BY ANY STATE OR FEDERAL AGENCY.