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Dempsey Lord Smith, LLC

Dempsey Lord Smith, LLC is a Broker-Dealer with 45 financial professionals registered nationwide. The firm's primary clients are Individuals, High Net Worth Individuals and Pension and Profit Sharing Plans.

Advisors (45)

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Name Start Date
Mark Morelle Headrick Dec 2009
Donald Michael Dusick Nov 2010
Larry Reid Daniels Jan 2014
Duvan Ledbetter Brock Aug 2009
Phyllis Julian Perry Dec 2013
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*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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$58.6M
Total Assets
816
Accounts
$71.8K
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
Jerry Eskel Dempsey Managing Member/Ceo/Crop/Srop/Cfo/Finop 04/01/2006
John Hayward Lord Chief Compliance Officer 04/01/2006
Ernest Liddell Smith Managing Member 04/01/2006
Duvan Ledbetter Brock V.P. Sales & Recruiting 12/01/2010

Affiliated Investment Advisors and Broker Dealers

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Name Type Total Assets
Dempsey Financial Services, Inc.
Duvan L Brock & Co
John Lord Financial, Inc. IAR $0
Silverleaf Insurance Agency, LLC

Principal Office & Place of Business

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Principal Office

Address:
901 N Broad Street
Rome , GA 30161
Phone Number: 706.238.9575
Other Offices Address City State Zip
1418 Bankhead Hwy Carrollton GA 30116
1575 N Three Notch Rd Ringgold GA 30736
320 S Piedmont Street Calhoun GA 30701
901 N Broad Streetsuite 400 Rome GA 30161
260 N Milledge Ave Athens GA 30603
901 N Broad Street Rome GA 30161
276 Curtis Parkway Calhoun GA 30701
15 Southlake Lane Hoover AL 35244

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees