Todd Smallwood has been Chief Compliance Officer of Procyon Advisors since October 2025, is a control person of the firm and directly owns under 5% of it. Todd Smallwood holds a BS in Economics from Syracuse University and a BA in Philosophy from Syracuse University.
Procyon Advisors, LLC is a Shelton, CT firm with $9.2B under management, 3,048 clients and 49 advisers across 24 offices, as of its September 2026 filing.
Todd Smallwood is Chief Compliance Officer of Procyon. Before joining Procyon he served in senior compliance and operational leadership roles at several firms, including Chief Compliance Officer of Sugarloaf Wealth Management and Compliance Officer at Advisor Group. Earlier in his career he was Associate Partner and Senior International Equity Trader at Invesco.
Todd Smallwood’s longest registration was 3 years at Triad Advisors, LLC (2018–2022). Before joining Procyon Advisors in 2025, Todd Smallwood was registered through Sugarloaf Wealth Management, LLC and Triad Advisors, LLC.
- Sugarloaf Wealth Management, LLC– · 2 yearsDuluth, GA · Adviser representative · Firm CRD 129602
- Triad Advisors, LLC– · 3 yearsDuluth, GA · Adviser representative · Firm CRD 25803
- Lindner Capital Advisors, Inc.– · 2 yearsMarietta, GA · Adviser representative · Firm CRD 108584
- Clear Investment Research, LLC– · 1 yearAtlanta, GA · Adviser representative · Firm CRD 172685
Investment adviser representative registrations
Todd Smallwood is registered as an investment adviser representative in Georgia, since November 2025.
- GeorgiaSince 13 November 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 30 December 2022 |
| Series 24 | General Securities Principal Examination | 2 December 2022 |
| Series 7TO | General Securities Representative Examination | 6 July 2022 |
| SIE | Securities Industry Essentials Examination | 11 December 2019 |
| Series 65 | Uniform Investment Adviser Law Examination | 13 December 2014 |
| Series 3 | National Commodity Futures Examination | 7 February 2002 |
| Series 7 | General Securities Representative Examination | 1 April 1991 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Representative Examination
- Full name
- Todd Jones Smallwood
- CRD
- 2131710
- Firm
- Procyon Advisors · CRD 288239
- Role
- Chief Compliance Officer
- Office
- Atlanta, GA
- Registration
- Investment adviser registration
- In the industry since
- March 1999
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- procyon.net
Where does Todd Smallwood work?
Todd Smallwood has been Chief Compliance Officer of Procyon Advisors, LLC since October 2025, and is a control person of the firm.
Is Todd Smallwood a financial advisor?
Yes. Todd Smallwood has a current investment-adviser registration in Georgia, through Procyon Advisors since November 2025.
How many years of experience does Todd Smallwood have?
Todd Smallwood has 27 years in the financial industry, since March 1999, across 5 adviser firms.
What exams has Todd Smallwood passed?
Todd Smallwood has passed 7 licensing exams: the Series 7, Series 3, Series 65, SIE, Series 7TO, Series 24 and Series 63. The earliest, the Series 7, was passed in April 1991.
Where did Todd Smallwood work before Procyon Advisors?
Before Procyon Advisors, Todd Smallwood was registered through Sugarloaf Wealth Management, LLC, July 2022 to March 2025; Triad Advisors, LLC, October 2018 to July 2022; Lindner Capital Advisors, Inc., April 2016 to October 2018; Clear Investment Research, LLC, December 2014 to February 2016.
Where is Todd Smallwood based?
Todd Smallwood’s registered office is in Atlanta, GA.
Is Todd Smallwood registered with FINRA?
No. Todd Smallwood has no current broker registration.
How can I verify Todd Smallwood’s record?
Search CRD 2131710 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Todd Smallwood’s full registration record.
