TS
Tony R. Smith
STONEGATE INVESTMENT GROUP
Birmingham, AL 35242
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CRD#: 2223813
TS
Professional summary
Tony Randall Smith is a registered financial advisor currently at STONEGATE INVESTMENT GROUP, LLC located in Birmingham, Alabama.
Tony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Tony has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
SANDWOOD FARMS LLC; 2005 Stonegate TraiL, Ste 115, Birmingham, AL 35242; Timber Farming, Wildlife Management; Other; Managing Member; Timber Farmin; 1/1/2011; Business hours per month: Yes // PATRIOT ONSITE CONCRETE LLC; 2005 Stonegate Trail, Suite 115, Vestavia, AL 35242; Concrete installation; Other; Member of LLC; None; 10/15/2019; Business hours per month: No // SWM PARTNERS LLC; 4962 Reynolds Ln, Birmingham, AL 35242; investment in private businesses; Other; LLC member; none; 3/14/2018; Business hours per month: No // LIBERTY PARK REAL ESTATE LLC; 2005 Stonegate Trail, Suite 115, Birmingham, AL 35242; Own and Lease office building; Other; Member of LLC; Periodic consultation with managing member regarding investment; 9/14/2007; Business hours per month: No
CRS (Client Relationship Summary) - RIA
Click below to view Tony Randall Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 9, 2021 - Present
STONEGATE INVESTMENT GROUP, LLC
Office #1: 2005 Stonegate Trail Suite # 101, Birmingham, AL 35242RIA
CRD#: 314889
Birmingham, AL
Past
September 14, 2007 - July 20, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BIRMINGHAM, AL
Past
September 14, 2007 - July 20, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BIRMINGHAM, AL
Past
August 1, 1993 - September 25, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BIRMINGHAM, AL
Past
July 31, 1993 - September 25, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BIRMINGHAM, AL
Past
April 8, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SI
STONEGATE INVESTMENT GROUP, LLC
ISLAND WAY INVESTMENT GROUP, LLC | STONEGATE INVESTMENT GROUP, LLC
CRD#: 314889 / SEC#: 801-121509
RIA
Registered Investment Advisory firm - (6/15/2021 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Alabama(7/9/2021)
IAR
Texas(5/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/20/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SI
STONEGATE INVESTMENT GROUP, LLC
ISLAND WAY INVESTMENT GROUP, LLC | STONEGATE INVESTMENT GROUP, LLC
CRD#: 314889 / SEC#: 801-121509
RIA
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Contact information
Main Address
2005 Stonegate Trail Suite # 101, Birmingham, AL 35242
Mailing Address
Phone number
(205) 963-0840
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,768 |
| AUM (Assets Under Management) | $ 5,670,936,072 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/02/2025 | ||
| 10/10/2024 | ||
| 12/12/2023 |
Red Flags
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Company Information
STONEGATE INVESTMENT GROUP, LLC
CRD#: 314889Birmingham, AL 35242TRUST BUT VERIFY
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