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11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2026-01-12 |
Branch Locations
11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dempsey Lord Smith, Llc | Rome | GA | 11/2017 | 11/2025 |
| Synovus Bank | Rome | GA | 08/2016 | 10/2017 |
| Starbucks | Calhoun | GA | 06/2014 | 09/2016 |
| Cambridge Investment Research, Inc. | Calhoun | GA | 11/2025 | 11/2025 |
| Kingswood Capital Partners | Woodstock | GA | 12/2025 | Present |
| Kingswood Wealth Advisors | Woodstock | GA | 12/2025 | Present |
1) CONTRACT MUSICIAN 1099 INCOME - LESS THAN $10,000 ANNUALLY. 1-3 HOURS PER WEEK 2) River Remedy - Not Investment Related - Rome, GA - Brewery - 10% Owner - 0 hours during trading 3) Audio Rentals - Not Investment Related - Rome, GA - rent musical equipment out on the road for fee - 1099 income 4) Independent Rentals; Not Investment Related; 971 Rose Creek Terrace Woodstock, GA 30189; Music Equipment Rental; Independent Contractor; 1/1/2013; 1hr /Month; 0 during trading; Occasionally rent music equipment to churches and bands. 5) OBA Independent Musician,Is Not Investment Related,"971 Rose Creek Terrace, , Woodstock, GA, 30189, United States",Music,Self Employed - Independent Contractor,1/1/2013,4 hours per month,0 hours per month during trading hours,Commission Compensation,I am a musician that plays at church and the occasional bar/venue gig for country artists. 6) River Remedy Brewing Company,Is Not Investment Related,"241 Broad St., , Rome, GA, 30161, United States",Brewery,Partner/Owner,12/1/2021,1 hours per month,0 hours per month during trading hours,Commission Compensation,"I am a part owner of the brewery. With the exception of occasionally running social media page, I have no day to day responsibilities."
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-21 |
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