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James Theodore Smalling

Allworth Financial, LP

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About James Theodore Smalling

James Theodore Smalling is a financial advisor with Allworth Financial, LP. He has been in the financial industry for over 12 years. His firm, Allworth Financial, LP, has approximately $19 billion in assets under management. James Smalling is a Certified Financial Planner™ and has earned the Series 6, Series 63, and Series 65 licenses. His firm offers a variety of financial planning services to individuals, families, businesses, and non-profits.

Firm Information

James Smalling is currently registered with Allworth Financial, LP. Allworth Financial, LP is an investment advisory firm based in Folsom, CA. The firm offers a range of financial planning and portfolio management services to individuals, businesses, and retirement plans. Allworth Financial, LP manages over $19 billion in assets for clients, including high-net-worth individuals, corporations, pension plans, and charitable organizations.
Allworth Financial, LP

340 PALLADIO PKWY.

FOLSOM, CA 95630

$19.31B

Assets Under Management

Not reported

Total Clients

231

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Smalling’s Registration & Firm History

CA

01/16/2014 - Present

Allworth Financial, LP (FOLSOM CA)

CA

12/07/2011 - 09/25/2013

PRINCOR FINANCIAL SERVICES CORPORATION (ELK GROVE CA)

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Licenses & Designations

IA

Issued 09/06/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/17/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/06/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Theodore Smalling.
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