| Category: | Insurance agency, |
|---|---|
| Address: | 901 Broad St, Rome, GA 30161, USA |
| Postal code: | 30161 |
| Phone: | (706) 238-9575 |
| Website: | http://dempseyi.com/ |
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Dempsey Lord Smith, LLC operates as an advisory firm based in Rome, Georgia. Dempsey Lord Smith, LLC handles $244.1 million in assets under management throughout 1,179 customer accounts, making it a mid-tier firm in the nation by assets under management (AUM). The firm has a large group, including 77 financial advisors.
Find company research, competitor information, contact details & financial data for Dempsey Lord Smith, LLC of Rome, GA. Get the latest business insights from Dun & Bradstreet.
Apply for Trusted badge | October 4th, 2022. Dempsey Lord Smith, registered in 2016, serves 23 state (s) with a licensed staff of 77 advisors. Dempsey Lord Smith manages $315.0 million and provides investment advisory services for 1,673 clients (1:22 advisor/client ratio).
The AWC states that negligent omissions of this type showed that Dempsey Lord Smith violated FINRA Rule 2010. In May-June 2018, Investors purchased a collective $323,000.00 in GPB Automotive Portfolio through the securities broker dealer. The regulator notes that in February 2021, SEC charged GPB Capital with fraud in violation of Securities ...
If you have lost money with broker Raymond Sun, Sandlapper Securities, LLC, or Dempsey Lord Smith, LLC, contact FINRA arbitration lawyers August Iorio and Jorge Altamirano of Iorio Altamirano LLP at august@ia-law.com, jorge@ia-law.com or toll-free at (855) 430-4010 for a free and confidential evaluation of your account.
Dempsey Lord Smith, LLC is a North Carolina Foreign Limited-Liability Company filed On November 5, 2007. The company's filing status is listed as Current-Active and its File Number is 1010761. The Registered Agent on file for this company is Incorp Services, Inc. and is located at 176 Mine Lake Court, Suite 100, Raleigh, NC 27615-6417.
Dempsey Lord Smith, LLC (CRD No. 141238) Dempsey Lord Smith, LLC has been an SEC-registered broker-dealer and FINRA member since 2007. The firm, which is based in Rome, Georgia, is a full-service introducing broker-dealer licensed to sell securities in 52 U.S. states and territories. Dempsey Lord Smith, LLC currently has a roster of ...
Daniel Kistler (CRD # 6203300) who is currently registered with Dempsey Lord Smith, LLC and located in Rome, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Dempsey Lord Smith, LLC, Daniel Kistler was associated with Coastal Equities, Inc. and other investment advisory and brokerage ...
advisory services offered through dempsey lord smith, llc 901 n broad street suite 400 rome, georgia, 30161 office: (706)-238-9575 ...