Randy J. Brunner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Randy James Brunner, who also goes by Randy J Brunner, was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1999. Randy had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2015 - September 21, 2023
SMITH, BROWN & GROOVER, INC.
December 19, 2014 - September 21, 2023
SMITH, BROWN & GROOVER, INC.
September 20, 2012 - December 18, 2014
CERTUS INVESTMENT ADVISORS, LLC
September 19, 2012 - December 18, 2014
CERTUSSECURITIES, INC.
January 4, 2012 - September 17, 2012
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
October 19, 2011 - September 17, 2012
RESOURCE HORIZONS GROUP LLC
March 23, 2006 - June 24, 2011
BB&T INVESTMENT SERVICES, INC.
March 21, 2006 - June 24, 2011
BB&T INVESTMENT SERVICES, INC.
April 27, 2005 - March 21, 2006
BB&T ASSET MANAGEMENT, INC.
October 17, 2003 - April 8, 2005
BB&T INVESTMENT SERVICES, INC.
October 17, 2003 - April 8, 2005
BB&T INVESTMENT SERVICES, INC.
January 31, 2003 - November 4, 2003
1ST GLOBAL ADVISORS INC
March 21, 2001 - November 4, 2003
1ST GLOBAL CAPITAL CORP.
August 13, 1999 - February 23, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SMITH, BROWN & GROOVER, INC.
CRD#: 1329 / SEC#: 801-117531, 8-13079
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SMITH, BROWN & GROOVER, INC.
CRD#: 1329 / SEC#: 801-117531, 8-13079
Contact information
SEC notice filing (23 States and Territories)
FINRA licenses (32 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITH, RAYMOND HILL JR | CHIEF EXECUTIVE OFFICER | 731506 |
| BARFIELD, THOMAS EARL JR | SENIOR VICE PRESIDENT | 4518997 |
| EDWARDS, HOLLI COX | FINANCIAL AND OPERATIONS PRINCIPAL | 5967474 |
| EDWARDS, HOLLI COX | CHIEF FINANCIAL OFFICER | 5967474 |
| GAITHER, THOMAS DEWITT JR. | PRESIDENT/CHIEF COMPLIANCE OFFICER | 6007486 |
| GAITHER, THOMAS DEWITT JR. | COO/GENERAL SECURITIES PRINCIPAL | 6007486 |
Regulatory assets under management
| Total Number of Accounts | 715 |
| AUM (Assets Under Management) | $ 283,344,603 |
Disclosures
| Regulatory Event | 17 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 10/26/2023 | ||
| 01/16/2023 |
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.
