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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2025-11-25 |
Branch Locations
901 N Broad Street, Suite 400, Rome, GA 30161 • United States
Tucker, GA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dempsey Lord Smith, Llc | Rome | GA | 10/2016 | 11/2025 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 11/2025 | Present |
| Dempsey Lord Smith, Llc | Rome | GA | 12/2016 | 03/2026 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 11/2025 | Present |
1. POINT FOUNDATION, 6230 Wilshire Blvd, Suite 890, Los Angeles CA 90048, United States, 11/15/2020, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO - 0 HR/MO TRADING 2. THE SPRINGS CONDOMINIUMS ASSOCIATION LLC, 1268 Branch Dr, Springs Clubhouse, Tucker GA 30084, United States, 12/18/2024, Board Member, NIR, 5 HR/MO - 0 HR/MO TRADING 3. LOUIS A. GARY - INSURANCE SALES, 1468 Branch Dr, Tucker GA 30084, United States, 10/31/2025, Agent, Louis A. Gary - Insurance Sales - Life/Annuity/Health, INV REL, 5 HR/MO - 5 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-05-20 |
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