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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 Street, Suite 400, Rome, GA 30161 • United States
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 | 09/2016 | 11/2025 |
| Kennesaw State U | Kennesaw | GA | 09/2014 | 09/2016 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 11/2025 | Present |
| Dempsey Lord Smith, Llc | Rome | GA | 10/2019 | 03/2026 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 11/2025 | Present |
1. MICHAEL WILLIAMS, 901 N Broad Street, Suite 400, Rome GA 30161, START DATE 11/2025, Agent, Insurance/Benefits/Human Resources, NIR, 10 HR/MO, 1 HR/MO TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-17 |
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