MB
Michael A. Bashuk
Some features on this profile are disabled
CRD#: 809250
MB
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
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)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
August 28, 1998 - September 3, 2025
SMITH, BROWN & GROOVER, INC.
BD
CRD#: 1329
MACON, GA
Past
September 26, 1978 - August 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 25, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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.
