Dempsey Lord Smith, LLC

Dempsey Lord Smith, LLC (CRD# 141238) is a financial advisory firm headquartered in Rome, GA. They manage $58,898,572 in 475 accounts and serve the financial needs of clients across 15 states (or territories).

By the Numbers
  • Total Assets Under Management
    59
    MILLION
  • Total Number of Accounts
    475
    ACCOUNTS
  • Average Account Value
    $123,997
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AL, FL, GA, ID, KY, LA, MI, MS, NC, NV, OH, PA, SC, TN, TX

Financial Advisors at Dempsey Lord Smith, LLC
Showing 1 - 10 of 37 top financial advisors.
1
Michael K. Argo
CRD#: 1981586
901 N Broad Street, Suite 400, Rome, GA 30161
96
Wealthminder
score

Michael Argo (CRD# 1981586) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Rome, GA and has over 27 years of experience in the finance industry. Michael Argo has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
William V. Baxter
CRD#: 15334
6065 Roswell Road, Suite 580, Atlanta, GA 30328
96
Wealthminder
score

William Baxter (CRD# 15334) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Atlanta, GA and has over 29 years of experience in the finance industry. William Baxter has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

3
Duvan L. Brock
CRD#: 1632101
320 S Piedmont Street, Calhoun, GA 30701
96
Wealthminder
score

Duvan Brock (CRD# 1632101) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Calhoun, GA and has over 29 years of experience in the finance industry. Duvan Brock has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

4
Kathy M. Buda
CRD#: 1369033
Atlanta, GA
96
Wealthminder
score

Kathy Buda (CRD# 1369033) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Atlanta, GA and has over 16 years of experience in the finance industry.

5
Jeffrey D. Rickett
CRD#: 2572822
901 N Broad Street, Suite 400, Rome, GA 30161
96
Wealthminder
score

Jeffrey Rickett (CRD# 2572822) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Rome, GA and has over 21 years of experience in the finance industry. Jeffrey Rickett has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

6
David J. Williams
CRD#: 1794811
Columbia, SC
96
Wealthminder
score

David Williams (CRD# 1794811) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Columbia, SC and has over 24 years of experience in the finance industry.

7
Kenneth W. Brown
CRD#: 2620429
3050 Peachtree Road, Suite 280, Atlanta, GA 30305
93
Wealthminder
score

Kenneth Brown (CRD# 2620429) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Atlanta, GA and has over 21 years of experience in the finance industry.

8
Gary W. Copeland
CRD#: 1780456
125 Towne Park Drive - Suite 300, Kennesaw, GA 30144
93
Wealthminder
score

Gary Copeland (CRD# 1780456) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Kennesaw, GA and has over 23 years of experience in the finance industry.

9
Donald M. Deans
CRD#: 2870570
Charlotte, NC 28226
93
Wealthminder
score

Donald Deans (CRD# 2870570) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Charlotte, NC and has over 19 years of experience in the finance industry.

10
William S. Finnie
CRD#: 4221287
6065 Roswell Road, Suite 580, Atlanta, GA 30328
93
Wealthminder
score

William Finnie (CRD# 4221287) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Atlanta, GA and has over 14 years of experience in the finance industry.

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