Louis GaryCRD Number: 4502318
Current Firm: Dempsey Lord Smith, LLC
Louis Gary (CRD# 4502318) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Tucker, GA and has over 15 years of experience in the finance industry.
Terra Firma Financial LLC
Independent Financial Partners
Pragmatic Financial Strategies, Inc.
|Dempsey Lord Smith, LLC||Rome, GA||Oct 2016 - Current||1|
|Ameriprise Financial Services Inc.||Atlanta, GA||Aug 2008 - Aug 2016||8|
|Unemployed||Decatur, GA||Apr 2008 - Aug 2008||< 1|
|Morgan Stanley & Company||Atlanta, GA||Apr 2007 - Apr 2008||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||May 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Employer Dispute
Total Assets Under Management106MILLIONS
Total Number of Accounts769ACCOUNTS
Average Account Value$137,711
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
AL, AZ, CA, FL, GA, ID, IL, IN, KY, LA, MI, MS, NC, NV, OH, PA, SC, TN, TX
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