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.