Randy E. Smith

FAIRWAY FINANCIAL

Casselberry, FL 32707

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CRD#: 3166132

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.

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

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

CRD#: 21570

SHELTON, CT

Past

April 24, 2006 - May 2, 2007

DIRECTED SERVICES LLC

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.

CRD#: 6694

CORDOVA, TN

Past

February 2, 1999 - September 20, 2002

EDWARD JONES

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/12/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/3/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/1/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/14/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 12/13/2002

General Securities Sales Supervisor - General Module Examination

Current Firm

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)

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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

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A_B (10/17/2025)

Regulatory assets under management

Total Number of Accounts	311
AUM (Assets Under Management)	$ 134,891,975

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.

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Advisor Monitoring

Firm Stability Insights

Randy E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

BROOKSTONE WEALTH ADVISORS, LLC

SPC

PARKLAND SECURITIES, LLC

AST INVESTMENT SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

DIRECTED SERVICES LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

Primary Firm SEC Registration

FAIRWAY FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/12/2003

Series 63

Date: 2/3/1999

SIE

Date: 10/1/2018

Series 7

Date: 2/1/1999

Series 9

Date: 1/14/2003

Series 10

Date: 12/13/2002

Current Firm

FAIRWAY FINANCIAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FAIRWAY FINANCIAL, LLC

TRUST BUT VERIFY

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