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Dempsey Lord Smith, LLC

Dempsey Lord Smith, LLC is a Broker-Dealer with 61 financial professionals registered nationwide. The firm's primary clients are Individuals, High Net Worth Individuals and Pension and Profit Sharing Plans.

Advisors (61)

Name Start Date
Cindi Lynn Porter Apr 2008
Michael Keith Argo Jun 2013
Steven Bryan Kelley Feb 2015
Robert James Maranghi Feb 2015
Michelle Marie Martin-Yoder Mar 2012
*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

$58.9M
Total Assets
444
Accounts
$132.7K
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

*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

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

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

Principal Office

Address:
901 N Broad Street
Rome , GA 30161
Phone Number: 706.238.9575
Other Offices Address City State Zip
212 Savannah Avenue Statesboro GA 30458
301 S Wall Street Calhoun GA 30701
7070 Oakcreek Trace Cumming GA 30041
855 Ridge Lake Blvd Memphis TN 38120
118 Davis Road Martinez GA 30907
1381 Dalewood Drive Atlanta GA 30329
1418 Bankhead Hwy Carrollton GA 30116
320 S Piedmont Street Calhoun GA 30701
1575 N Three Notch Rd Ringgold GA 30736
15 Southlake Lane Hoover AL 35244
439 Congaree Road Greenville SC 29607
276 Curtis Parkway Calhoun GA 30701
6065 Roswell Road Atlanta GA 30328
901 N Broad Streetsuite 400 Rome GA 30161

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees