SMITH, BROWN & GROOVER, INC. of MACON, GA is an SEC-registered investment adviser (CRD 1329). Regulatory assets under management: $284.2M.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Other.
| Name | Role | Location |
|---|---|---|
| Thomas Earl Jr Barfield | SENIOR VICE PRESIDENT | — |
| Holli Cox Edwards | CHIEF FINANCIAL OFFICER; FINANCIAL AND OPERATIONS PRINCIPAL | — |
| Thomas Dewitt Jr. Gaither | COO/GENERAL SECURITIES PRINCIPAL; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Raymond Hill Jr Smith | CHIEF EXECUTIVE OFFICER | — |
| SMITH RAYMOND HILL JR | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER; FINANCIAL AND OPERATIONS PRINCIPAL AND MUNICIPAL SECURITIES PRINCIPAL (+3 more) | — |
| SMITH MARION KATHLEEN | SENIOR VICE PRESIDENT | — |
| SCHAFER CHARLOTTE JOYCE REDDICK | VICE PRESIDENT | — |
| HUNDERTMARK JOAN ELIZABETH | VICE PRES & FIN/OP | — |
| KEIL RICHARD CHARLES | VICE PRESIDENT | — |
| BASHUK MICHAEL ANDREW | VICE PRESIDENT | — |
| BISH WALTER CHARLES | VICE PRESIDENT | — |
| SMITH RAYMOND HILL | CHAIRMAN; PRESIDENT | — |
| GAITHER THOMAS DEWITT JR | COO/GENERAL SECURITIES PRINCIPAL; GENERAL SECURITIES PRINCIPAL; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| BARFIELD THOMAS EARL JR | SENIOR VICE PRESIDENT | — |
| EDWARDS HOLLI COX | CHIEF FINANCIAL OFFICER; FINANCIAL AND OPERATIONS PRINCIPAL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-11-06 | regulatory | ON NOVEMBER 6, 2024, SMITH, BROWN AND GROOVER, INC. SUBMITTED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WITH THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) WITHOUT ADMITTING OR DENYING THE FINDING THAT IT RECOMMENDED A TRADING STRATEGY IN A NON-TRADITIONAL EXCHANGE TRADED PRODUCT (NT-ETP… | Final | — |