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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2026-01-12 |
| TX | RA | APPROVED_RES | 2025-12-01 |
Branch Locations
901 N Broad Street, Suite 400, Rome, GA 30161 • United States
2 disclosure categories 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 | 04/2006 | 11/2025 |
| Dls Financial, Llc | Rome | GA | 02/2006 | 11/2025 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 11/2025 | Present |
| Dempsey Lord Smith, Llc | Rome | GA | 03/2007 | 03/2026 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 11/2025 | Present |
1. DLS FINANCIAL LLC, 901 N Broad Street, Suite 400, Rome GA 30161, United States, 11/21/2025, Owner, Real Estate, NIR, 30 HR/MO - 25 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-13 |
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