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1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-12-01 |
| GA | RA | APPROVED | 2025-11-25 |
Branch Locations
901 N Broad St. Ste. 400, Rome, GA 30161 • United States
3410 E Gate Dr., Cumming, GA 30041 • United States
Jasper, 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 | 02/2011 | 11/2025 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 11/2025 | Present |
| Dempsey Lord Smith, Llc | Rome | GA | 05/2018 | 03/2026 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 11/2025 | Present |
1. CIRA, 1776 Pleasant Plain Road Fairfield IA 52556, START DATE 11/2025, Investment Advisor Representative, CIRA Affiliation, INV REL, HR/MO 160, HR/MO TRADING 120
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 1984-07-20 |
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