TB
Thomas E. Barfield
SMITH, BROWN & GROOVER
Macon, GA 31210-5039
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CRD#: 4518997
TB
Professional summary
Thomas Earl Barfield JR is a registered financial professional currently at SMITH, BROWN & GROOVER, INC. located in Macon, Georgia.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Earl Barfield JR'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 30, 2002 - Present
SMITH, BROWN & GROOVER, INC.
Office #1: 4001 Vineville Avenue, Macon, GA 31210-5039Office #2: 4001 Vineville Avenue, Macon, GA 31210-5039RIA
BD
CRD#: 1329
Macon, GA
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.
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
Georgia(5/10/2002)
Exams
State Security Law 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.
