RN
Randall O. Norris
SMITH, BROWN & GROOVER
Macon, GA 31210-5039
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CRD#: 4008803
RN
Professional summary
Randall Owen Norris, who also goes by Randy Owen Norris, is a registered financial advisor currently at SMITH, BROWN & GROOVER, INC. located in Macon, Georgia.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Randall has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Owen Norris
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.
RENTAL HOMES - OWN AND MANAGE SINGLE FAMILY RESIDENCES FOR RENTAL PURPOSES - NUMBER OF HOURS VARIES EACH MONTH - RECEIVES COMPENSATION
SOUTHEASTERN MANAGEMENT COOP, INC.- CONSULTING, BOARD GOVERNANCE; PROFITABILITY AND TAX PLANNING - 20 HOURS PER MONTH - RECEIVES COMPENSATION
CRS (Client Relationship Summary) - RIA
Click below to view Randall Owen Norris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randall Owen Norris'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
April 11, 2006 - Present
SMITH, BROWN & GROOVER, INC.
Office #1: 4001 Vineville Avenue, Macon, GA 31210-5039Office #2: 4001 Vineville Ave, Macon, GA 31210-5039Office #3: 4001 Vineville Ave, Macon, GA 31210-5039RIA
BD
CRD#: 1329
Macon, GA
Current
March 29, 2006 - Present
SMITH, BROWN & GROOVER, INC.
Office #1: 4001 Vineville Avenue, Macon, GA 31210-5039Office #2: 4001 Vineville Avenue, Macon, GA 31210-5039Office #3: 4001 Vineville Ave, Macon, GA 31210-5039RIA
BD
CRD#: 1329
Macon, GA
Past
May 24, 2004 - March 14, 2006
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
MACON, GA
Past
May 24, 2004 - March 14, 2006
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
April 3, 2003 - May 18, 2004
CITISTREET FINANCIAL SERVICES LLC
RIA
CRD#: 107311
ALPHARETTA, GA
Past
March 30, 2001 - May 18, 2004
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
August 30, 1999 - April 16, 2001
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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".
SMITH, BROWN & GROOVER, INC.
BROWN AND GROOVER, INC. | SMITH, BROWN AND GROOVER | SMITH, BROWN & GROOVER, INC. | SMITH, BROWN & GROOVER INC. D/B/A SBG WEALTH MANAGEMENT | SBG WEALTH MANAGEMENT, LLC | SBG WEALTH MANAGEMENT
CRD#: 1329 / SEC#: 801-117531, 8-13079
RIA
Registered Investment Advisory firm - SEC (10/24/2019 Approved)District of Columbia
Registered Investment Advisory firm - SEC (2/25/2020 Terminated)Georgia
Registered Investment Advisory firm - SEC (9/13/1999 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/25/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (2/25/2020 Terminated)Tennessee
Registered Investment Advisory firm - SEC (2/26/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/29/2006)
RR
California(8/8/2025)
IAR
California(8/8/2025)
RR
Florida(3/29/2006)
RR
Georgia(3/29/2006)
IAR
Georgia(4/11/2006)
RR
Louisiana(8/8/2025)
IAR
Louisiana(8/8/2025)
RR
Maryland(8/8/2025)
IAR
Maryland(8/8/2025)
RR
Mississippi(8/8/2025)
IAR
Mississippi(8/8/2025)
RR
North Carolina(3/14/2007)
RR
Ohio(8/12/2025)
IAR
Ohio(8/14/2025)
RR
South Carolina(3/14/2007)
RR
Tennessee(4/19/2023)
RR
Texas(8/8/2025)
IAR
Texas(8/9/2025)
RR
Virginia(8/8/2025)
IAR
Virginia(8/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SMITH, BROWN & GROOVER, INC.
BROWN AND GROOVER, INC. | SMITH, BROWN AND GROOVER | SMITH, BROWN & GROOVER, INC. | SMITH, BROWN & GROOVER INC. D/B/A SBG WEALTH MANAGEMENT | SBG WEALTH MANAGEMENT, LLC | SBG WEALTH MANAGEMENT
CRD#: 1329 / SEC#: 801-117531, 8-13079
RIA
Registered Investment Advisory firm - SEC (10/24/2019 Approved)District of Columbia
Registered Investment Advisory firm - SEC (2/25/2020 Terminated)Georgia
Registered Investment Advisory firm - SEC (9/13/1999 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/25/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (2/25/2020 Terminated)Tennessee
Registered Investment Advisory firm - SEC (2/26/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
4001 Vineville Avenue, Macon, GA 31210-5039
Mailing Address
4001 Vineville Avenue, Macon, GA 31210-5039
Phone number
(478) 474-7004
Established
Georgia since 01/01/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
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.
Company Information
SMITH, BROWN & GROOVER, INC.
CRD#: 1329Macon, GA 31210-5039TRUST BUT VERIFY
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