Douglas Carroll Shows

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2011 → 08/2018
  Heritage First Bank
  Rome, GA
• 06/2011 → 08/2018
  Proequities, Inc
  Rome, GA
• 08/2018 → 11/2025
  Dempsey Lord Smith, Llc
  Rome, GA
• 11/2025 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 06/2013 → 03/2026
  Dempsey Lord Smith, Llc
  Rome, GA
• 11/2025 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2026-01-06 → 2026-04-03
  Dempsey Lord Smith, Llc
  Rome, GA
  Rome, GA
• 2018-09-18 → 2025-12-31
  Dempsey Lord Smith, Llc
  Rome, GA
  Rome, GA
  Rome, GA
  Rome, GA
  Rome, GA
• 2011-06-17 → 2018-09-17
  Concourse Financial Group Securities, Inc.
  Rome, GA
  Birmingham, AL
  Rome, GA
• 2006-11-30 → 2010-09-28
  Park Avenue Securities Llc
  Rome, GA
• 2005-12-14 → 2007-12-07
  Peachtree Planning Advisors, Inc.
  Atlanta, GA
• 2006-06-26 → 2006-11-08
  Park Avenue Securities Llc
  Rome, GA
  Rome, GA

Other Businesses

1. DOUG SHOWS OFFICIATING, LLC, 3 Central Plaza STE 202, Rome GA 30161, United States, 10/01/2007, Owner, Sport/Fitness/Gaming, NIR, 60 HR/MO - 30 HR/MO TRADING 2. TRI RIVERS PROPERTIES, INC, 3 Central Plaza STE 202, Rome GA 30161, United States, 10/01/2007, President, Real Estate, NIR, 15 HR/MO - 6 HR/MO TRADING 3. JOHN ASHLEY, LLC, 3 Central Plaza STE 202, Rome GA 30161, United States, 10/01/2004, President, Real Estate, NIR, 10 HR/MO - 5 HR/MO TRADING 4. TRI RIVERS PROPERTIES, INC, 3 Central Plaza, Box 202, Rome GA 30161, United States, 05/01/2002, President, Real Estate, NIR, 10 HR/MO - 10 HR/MO TRADING 5. SECOND AVENUE GROUP, LLC, 3 Central Plaza STE 202, Rome GA 30161, United States, 07/10/2024, Owner, Real Estate, NIR, 5 HR/MO - 5 HR/MO TRADING 6. ASHLEY MANOR HOMEOWNER'S ASSOCIATION, 311 Second Ave, Rome GA 30161, 08/2018, President, Real Estate, NIR, 2 HR/MO - 2 HR/MO TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-09-12
• S63 Uniform Securities Agent State Law Examination
  2001-05-14

Other Names

• Douglas C Shows