Lawrence A. Breen
DEMPSEY LORD SMITH
ROME, GA 30161
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CRD#: 1333876
Professional summary
Lawrence Aloysius Breen III, CFP®, ChFC®, CLU®, who also goes by Larry Breen, is a registered financial advisor currently at DEMPSEY LORD SMITH, LLC located in Rome, Georgia and CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Lake Mary, Florida.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Lawrence has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Larry Breen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Aloysius Breen III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1995
Experience
Current
January 13, 2020 - Present
DEMPSEY LORD SMITH, LLC
Office #1: 901 N Broad Street Suite 400, Rome, GA 30161RIA
BD
CRD#: 141238
ROME, GA
Current
November 24, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1515 International Parkway, Ste 1019, Lake Mary, FL 32746RIA
CRD#: 134139
Lake Mary, FL
Current
November 21, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1515 International Parkway Ste 1019, Lake Mary, FL 32746BD
CRD#: 39543
Lake Mary, FL
Past
January 13, 2020 - December 31, 2025
DEMPSEY LORD SMITH, LLC
RIA
CRD#: 141238
Lake Mary, FL
Past
January 7, 2020 - January 8, 2020
DEMPSEY LORD SMITH, LLC
RIA
CRD#: 141238
Lake Mary, FL
Past
January 3, 2020 - November 21, 2025
DEMPSEY LORD SMITH, LLC
BD
CRD#: 141238
Lake Mary, FL
Past
January 6, 2016 - December 31, 2019
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
LAKE MARY, FL
Past
January 6, 2016 - December 31, 2019
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
LAKE MARY, FL
Past
October 2, 2006 - December 31, 2015
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
LAKE MARY, FL
Past
September 29, 2006 - December 31, 2015
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
LAKE MARY, FL
Past
November 11, 1996 - October 3, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
LAKE MARY, FL
Past
November 11, 1996 - October 3, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
LAKE MARY, FL
Past
January 15, 1991 - November 13, 1996
G. A. REPPLE & COMPANY
BD
CRD#: 17486
CASSELBERRY, FL
Past
August 27, 1990 - January 17, 1991
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
LA JOLLA, CA
Past
February 8, 1985 - August 27, 1990
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/21/2025)
RR
California(11/21/2025)
RR
Colorado(11/21/2025)
IAR
Florida(1/13/2020)
RR
Florida(11/22/2025)
RR
Georgia(11/21/2025)
RR
Illinois(11/21/2025)
RR
Kentucky(11/21/2025)
RR
Maine(11/21/2025)
RR
Massachusetts(11/21/2025)
RR
North Carolina(11/21/2025)
RR
Texas(11/21/2025)
IAR
Texas(11/24/2025)
RR
Washington(11/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
