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RS

Randy E. Smith

FAIRWAY FINANCIAL
Casselberry, FL 32707
Some features on this profile are disabled
CRD#: 3166132
RS

Professional summary

Randy Eugene Smith JR, AIF®, CFP®, CIMA®, who also goes by Randy E Smith Jr, is a registered financial advisor currently at FAIRWAY FINANCIAL, LLC located in Casselberry, Florida.

Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Randy has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Randy E Smith Jr

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Eugene Smith JR's CRS (Customer Relationship Summary).
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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Start date: 2005

CIMA®

Certified Investment Management Analyst

Experience

Current

September 17, 2015 - Present

FAIRWAY FINANCIAL, LLC

Office #1: 950 S Winter Park Drive Suite 352, Casselberry, FL 32707
RIA
CRD#: 134675
Casselberry, FL
Past

May 27, 2015 - October 23, 2015

CALTON & ASSOCIATES, INC.

RIA
CRD#: 20999
Casselberry, FL
Past

May 20, 2015 - October 2, 2025

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
Casselberry, FL
Past

February 13, 2015 - April 23, 2015

BROOKSTONE WEALTH ADVISORS, LLC

RIA
CRD#: 137658
NASHVILLE, TN
Past

October 3, 2013 - November 17, 2014

SPC

RIA
CRD#: 110692
MEMPHIS, TN
Past

October 1, 2013 - November 17, 2014

PARKLAND SECURITIES, LLC

BD
CRD#: 115368
NASHVILLE, TN
Past

April 29, 2008 - October 2, 2013

AST INVESTMENT SERVICES, INC.

RIA
CRD#: 108897
SHELTON, CT
Past

May 10, 2007 - October 2, 2013

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

April 24, 2006 - May 2, 2007

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

April 21, 2004 - April 27, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
CORDOVA, TN
Past

September 16, 2002 - April 27, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
CORDOVA, TN
Past

February 2, 1999 - September 20, 2002

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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".
FF
FAIRWAY FINANCIAL, LLC
FAIRWAY FINANCIAL, LLC

CRD#: 134675 / SEC#: 801-131250

RIA
Registered Investment Advisory firm - (10/7/2024 Approved)
Florida
Registered Investment Advisory firm - (10/11/2024 Terminated)

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
Florida
(9/17/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/12/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/3/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/14/2003
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/13/2002
General Securities Sales Supervisor - General Module Examination

Current Firm

FF
FAIRWAY FINANCIAL, LLC
FAIRWAY FINANCIAL, LLC

CRD#: 134675 / SEC#: 801-131250

RIA
Registered Investment Advisory firm - (10/7/2024 Approved)
Florida
Registered Investment Advisory firm - (10/11/2024 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
950 S Winter Park Drive Suite 352, Casselberry, FL 32707
Mailing Address
Phone number
(407) 628-0850
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A_B (3/3/2026)

Regulatory assets under management

Total Number of Accounts329
AUM (Assets Under Management)$ 159,599,831

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FAIRWAY FINANCIAL, LLC

CRD#: 134675Casselberry, FL 32707

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