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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 |
| TX | RA | APPROVED | 2025-11-24 |
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 |
|---|---|---|---|---|
| Dempsey Lord Smith, Llc | Rome | GA | 07/2015 | 11/2025 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 11/2025 | Present |
| Dempsey Lord Smith, Llc | Rome | GA | 07/2015 | 03/2026 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 11/2025 | Present |
1. JEFFREY D RICKETT & ASSOCIATES LLC, 901 North Broad Street, Rome GA 30161, United States, 05/21/2016, Owner, Insurance/Benefits/Human Resources, NIR, 10 HR/MO - 10 HR/MO TRADING 2. COOSA FINANCIAL PLANNING LLC, 901 N Broad Street Suite 420, Rome GA 30161, United States, 01/01/2022, Owner, DBA Name, NIR, 40 HR/MO - 40 HR/MO TRADING 3. BIG SPRING LLC, 201 Running Deer Trail, Rome GA 30165, United States, 05/21/2016, Owner, Real Estate, NIR, 0 HR/MO - 0 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-03 |
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