Raymond Hill Smith Jr
CFP®Professional Summary
Raymond Hill Smith JR, CFP® is a registered financial advisor currently at SMITH, BROWN & GROOVER, INC. located in Macon, Georgia. Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Raymond has worked at 1 firm and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 53, Series 27 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
4001 Vineville Avenue, Macon, GA 31210-5039Mailing Address
4001 Vineville Avenue, Macon, GA 31210-5039Phone Number
(478) 474-7004Established
Georgia since 01/01/1967Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
7SEC notice filing (23 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
FINRA licenses (32 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
Documents
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 | CHIEF FINANCIAL OFFICER | 5967474 |
| EDWARDS, HOLLI COX | FINANCIAL AND OPERATIONS PRINCIPAL | 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
722AUM (Assets Under Management)
$284,162,648Disclosures
Regulatory Event
17Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/17/2025 | Cover Page | Report |
| 10/24/2024 | Cover Page | Report |
| 10/26/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(6/17/2026)
(5/12/2021)
(5/2/2000)
(1/3/2000)
(4/7/2015)
(3/13/2000)
(10/24/1983)
(2/19/2003)
(5/1/2002)
(11/2/1999)
(10/15/1999)
(6/15/2000)
(10/4/1999)
(10/4/1999)
(9/22/1999)
(1/10/2000)
(10/6/1999)
(1/13/2001)
(10/13/1999)
(12/8/2017)
(3/22/2000)
(12/8/2017)
(2/4/2000)
(12/16/1999)
(8/24/1999)
(12/7/2000)
(5/27/2010)
(3/5/2001)
(9/23/1999)
(5/18/2000)
(2/25/2000)
(12/18/2012)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Aug 1999SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Raymond Hill Smith JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raymond Hill Smith JR's CRS (Customer Relationship Summary).
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