Michael A. Bashuk
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.
Michael Andrew Bashuk was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1975. Michael had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 5, PC 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
August 28, 1998 - September 3, 2025
SMITH, BROWN & GROOVER, INC.
September 26, 1978 - August 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamCurrent 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.
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