Dempsey Lord Smith, LLC
Dempsey Lord Smith, LLC is a Broker-Dealer with 33 financial professionals registered nationwide. The firm's primary clients are Individuals, High Net Worth Individuals and Pension and Profit Sharing Plans.
*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
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.
*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
Affiliated Investment Advisors and Broker Dealers
|Dempsey Financial Services, Incorporated
|Duvan L Brock & Co
|John Lord Financial, Inc.
|Silverleaf Insurance Agency, LLC
Principal Office & Place of Business
901 N Broad Street
|Other Offices Address
|901 N Broad Street
Firm Compensation Arrangements
Types of Compensation Arrangements
Percentage of Assets