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John T Smallwood
JOHN THOMAS SMALLWOOD JR, JOHN THOMAS SMALLWOOD JR., John Thomas Smallwood
CRD#: 5021503
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 10 S Dearborn St
Floor 08
Chicago, IL 60603
Registration History
200620082010201220142016201820202022202420262 FIRMS2020 - 2024 (3 years)2 FIRMS2024 - Present (<1 year)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2015 - 2020 (5 years)BFIFTH THIRD SECURITIES, INC. (CRD# 628)2013 - 2013 (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2013 (<1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2012 (6 years)BFIRST INVESTORS CORPORATION (CRD# 305)2005 - 2005 (<1 year)IAU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2020 - 2020 (<1 year)
License(s)

State Registrations

B
Alabama 3/29/2024

B
Nebraska 3/29/2024

B
Alaska 3/29/2024

B
Nevada 3/29/2024

B
Arizona 3/29/2024

B
New Hampshire 3/29/2024

B
Arkansas 3/29/2024

B
New Jersey 3/29/2024

B
California 3/29/2024

B
New Mexico 3/29/2024

B
Colorado 3/29/2024

B
New York 3/29/2024

B
Connecticut 3/29/2024

B
North Carolina 3/29/2024

B
Delaware 3/29/2024

B
North Dakota 3/29/2024

B
District of Columbia 3/29/2024

B
Ohio 3/30/2024

B
Florida 3/29/2024

B
Oklahoma 3/29/2024

B
Georgia 3/29/2024

B
Oregon 3/29/2024

B
Hawaii 3/29/2024

B
Pennsylvania 3/29/2024

B
Idaho 3/29/2024

B
Puerto Rico 3/29/2024

B
Illinois 3/29/2024

B
Rhode Island 3/29/2024

IA
Illinois 3/29/2024

B
South Carolina 3/29/2024

B
Indiana 3/29/2024

B
South Dakota 3/29/2024

B
Iowa 3/29/2024

B
Tennessee 3/29/2024

B
Kansas 3/29/2024

B
Texas 3/29/2024

B
Kentucky 3/29/2024

IA
Texas 3/29/2024

B
Louisiana 3/29/2024

B
Utah 3/29/2024

B
Maine 3/29/2024

B
Vermont 3/29/2024

B
Maryland 3/29/2024

B
Virgin Islands 3/29/2024

B
Massachusetts 3/29/2024

B
Virginia 3/29/2024

B
Michigan 3/29/2024

B
Washington 3/29/2024

B
Minnesota 3/29/2024

B
West Virginia 3/29/2024

B
Mississippi 3/29/2024

B
Wisconsin 3/29/2024

B
Missouri 3/29/2024

B
Wyoming 3/29/2024

B
Montana 3/29/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
10 S Dearborn St Floor 08, Chicago, IL 60603
Registered with this firm since 3/29/2024

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
10 S Dearborn St Floor 08, Chicago, IL 60603
Registered with this firm since 3/29/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/09/2020 - 03/08/2024 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) ORLAND PARK, IL
B
10/29/2020 - 03/08/2024 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) ORLAND PARK, IL
IA
02/21/2020 - 10/21/2020 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) CHICAGO, IL
B
09/11/2015 - 10/21/2020 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) CHICAGO, IL
B
06/07/2013 - 09/13/2013 FIFTH THIRD SECURITIES, INC. (CRD#:628) CHICAGO, IL
B
10/01/2012 - 02/28/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) ELMHURST, IL
B
12/13/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ELMHURST, IL
B
09/12/2005 - 11/16/2005 FIRST INVESTORS CORPORATION (CRD#:305) EDISON, NJ
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.