RS
Raymond H. Smith
SMITH, BROWN & GROOVER
Macon, GA 31210-5039
Some features on this profile are disabled
CRD#: 731506
RS
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 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) TWISTEM.COM, TIRE STEM MANUFACTURER, ONE HOUR PER WEEK, NO COMPENSATION
2) BOARD MEMBER PUREFY.COM, REFIANCE STUDENT LOANS, TWO HOURS PER WEEK, NO COMPENSATION
4) BOARD MEMBER GOODWILL OF MACON; 3 HOURS PER MONTH, NO COMPENSATION.
5) ACTS AS TRUSTEE FOR THE FOLLOWING: DANA S. RASHIDFAROKHI IRREVOCABLE TRUST; MARION KATHLEEN VESS SMITH & RAYMOND H. SMITH TRUSTS; GEORGE A. MCMANUS TRUSTS; JUANITA H. MCMANUS TRUSTS; CALVIN RANDALL MCMANUS TRUST; DEBRA MCMANUS TRUST; AND GEORGE MICHAEL MCMANUS TRUST.
6) ACTS AS POWER OF ATTORNEY FOR THE FOLLOWING: JOYCE R. SCHAFER.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
February 19, 2003 - Present
SMITH, BROWN & GROOVER, INC.
Office #1: 4001 Vineville Avenue, Macon, GA 31210-5039Office #2: 4001 Vineville Ave, Macon, GA 31210-5039RIA
BD
CRD#: 1329
Macon, GA
Current
May 18, 1981 - 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.
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
Arizona(5/12/2021)
RR
California(5/2/2000)
RR
Connecticut(1/3/2000)
RR
District of Columbia(4/7/2015)
RR
Florida(3/13/2000)
RR
Georgia(10/24/1983)
IAR
Georgia(2/19/2003)
RR
Hawaii(5/1/2002)
RR
Idaho(11/2/1999)
RR
Illinois(10/15/1999)
RR
Indiana(6/15/2000)
RR
Kentucky(10/4/1999)
RR
Louisiana(10/4/1999)
RR
Minnesota(9/22/1999)
RR
Mississippi(1/10/2000)
RR
New Jersey(10/6/1999)
RR
New York(1/13/2001)
RR
North Carolina(10/13/1999)
IAR
North Carolina(12/8/2017)
RR
Ohio(3/22/2000)
IAR
Ohio(12/8/2017)
RR
Oregon(2/4/2000)
RR
Pennsylvania(12/16/1999)
RR
South Carolina(8/24/1999)
RR
Tennessee(12/7/2000)
IAR
Tennessee(5/27/2010)
RR
Texas(3/5/2001)
RR
Virginia(9/23/1999)
RR
Washington(5/18/2000)
RR
Wisconsin(2/25/2000)
RR
Wyoming(12/18/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/23/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
Monitor Raymond Smith
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
