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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-12-11 |
| GA | RA | APPROVED | 2025-11-25 |
Branch Locations
901 N Broad Street, Suite 400, Rome, GA 30161 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self Employed Insurance Agent | Ft Lauderdale | FL | 08/2001 | Present |
| Gwn Securities Inc. | Palm Beach Gardens | FL | 01/2008 | 07/2019 |
| Peak Brokerage Services, Llc | Palm Beach Gardens | FL | 07/2019 | 08/2024 |
| Blackridge Asset Management, Llc | Williamsville | NY | 07/2019 | 08/2024 |
| Dempsey Lord Smith, Llc | Rome | GA | 08/2024 | 11/2025 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 11/2025 | Present |
| Dempsey Lord Smith, Llc | Rome | GA | 08/2024 | 03/2026 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 11/2025 | Present |
1) VITA FOR LIFE LLC, Weston, FL 33326, 11/2025, Owner, Healthcare, NIR, 20 HR/MO, 5 HR/MO TRADING. 2) NATIONAL RETIREMENT SOLUTIONS LLC, Weston, FL 33326, 11/2025, Agent, Insurance/Benefits/Human Resources, NIR, 160 HR/MO, 80 HR/MO TRADING. 3) REALESTATE, Weston, FL 33326, 11/2025, I may purchase or sell real estate for my own personal investing, Personal Real Estate Investing, NIR, 10 HR/MO, 5 HR/MO TRADING.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-06-12 |
| S65 | Uniform Investment Adviser Law Examination | 2019-01-26 |
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