Branch offices
3 offices
FINRA: Small firm
CRD #1329 · FINRA BrokerCheck + SEC IAPD
Smith, Brown & Groover, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Smith, Brown & Groover, Inc. ranks #395 of 20,055 by disclosure count (most disclosures first). Among firms registered in GA, it ranks #4 of 58 on the same disclosure sort used on the state browse page. Smith, Brown & Groover, Inc. carries 17 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 3
- branch offices
- 17
- disclosures
- #395 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 1329 Smith, Brown & Groover, Inc.
Smith, Brown & Groover, Inc. · Grade D · 17 disc · 5.67/office · Small firm
- CRD 1329
- GRADE D
- DISC 17
- REG 17
- ARB 0
- CIV 0
- BRANCH 3
- PER-OFF 5.67
- RANK #395 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: Barrett & Company (5.67 disc/office)
Smith, Brown & Groover, Inc. ranks #395 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.67 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
17 events
On FINRA BrokerCheck
Regulatory events
17 actions
100% of all disclosures
Disclosures per office
5.67 per office
17 ÷ 3 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Smith, Brown & Groover, Inc. - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 17 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 17 |
Counts for Smith, Brown & Groover, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 17 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Macon, GA
- CRD Number
- 1329
Regulator-heavy mix
Smith, Brown & Groover, Inc. in the heavier-disclosure third
Smith, Brown & Groover, Inc. carries 17 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#395 of 20,055). Regulator-initiated events are 100% of the book (17 regulatory / 0 arbitration / 0 civil).
100% of Smith, Brown & Groover, Inc.'s 17 disclosures are regulator-initiated (17 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Smith, Brown & Groover, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Georgia cohort · 6.57× state average
Smith, Brown & Groover, Inc. sits above the Georgia disclosure average
Smith, Brown & Groover, Inc. reports 17 BrokerCheck disclosures, 6.57× the Georgia average of 2.6 across 58 graded firms with a principal-office state on file.
In Georgia, 38 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Georgia state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Smith, Brown & Groover, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Smith, Brown & Groover, Inc. ranks #395 of 20,055 by disclosure count (most disclosures first). Among firms registered in GA, it ranks #4 of 58 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for Smith, Brown & Groover, Inc.?
A grade of D reflects Smith, Brown & Groover, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 17 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Smith, Brown & Groover, Inc. have?
Smith, Brown & Groover, Inc. has 17 total FINRA disclosures, including 17 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Smith, Brown & Groover, Inc.?
Smith, Brown & Groover, Inc. operates 3 branch offices and is classified by FINRA as a small firm, registered in GA (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Smith, Brown & Groover, Inc.'s disciplinary record?
You can verify Smith, Brown & Groover, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 1329. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Smith, Brown & Groover, Inc.'s 17 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Smith, Brown & Groover, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Smith, Brown & Groover, Inc. carries 17 disclosures across 3 branch offices (about 5.67 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Smith, Brown & Groover, Inc., both outside GA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (17 here).
Read with this firm
- Barrett & Company (RI) - 5.67 disclosures/office, nearest small firm peer to Smith, Brown & Groover, Inc.'s 5.67
- Colonial Securities, Inc. (NY) - 5.50 disclosures/office, nearest small firm peer to Smith, Brown & Groover, Inc.'s 5.67
- Liquidnet, Inc. (NY) - 5.50 disclosures/office, nearest small firm peer to Smith, Brown & Groover, Inc.'s 5.67
- Firms in GA - state roster that includes Smith, Brown & Groover, Inc.'s registration home.
- Red Flags in Advisor Records - How to read Smith, Brown & Groover, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 17 disclosures behind Smith, Brown & Groover, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Smith, Brown & Groover, Inc..
- Compare firms - put Smith, Brown & Groover, Inc. next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.