Lawrence A. Breen
DEMPSEY LORD SMITH
Lake Mary, FL 32746
Some features on this profile are disabled
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 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 7 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.
1. DBA-BREEN FINANCIAL MANAGEMENT, INC., NON-INVESTMENT RELATED, 1515 INTERNATIONAL PARYWAY, SUITE #1019, LAKE MARY, FLORIDA 32746, LIFE, DISABILITY, LTC INSURANCE, PRESIDENT, BEGAN OCTOBER 1996, 3-5 HOURS PER MONTH, INCLUDING DURING TRADING, CERTIFIED FINANICAL PLANNER (CFP) AND CHARTERED FINANCIAL CONSULTANT (CHFC). 2. DBA-BREEN FINANICIAL MANAGEMENT, INC./BREEN EXIT PLANNING, NON-INVESTMENT RELATED, 1515 INTERNATIONAL PARKWAY, SUITE #1019, LAKE MARY, FLORIDA 32746, SUCCESSION AND EXIT PLANNING SERVICES TO PRIVATE BUSINESS OWNERS, PRESIDENT, BEGAN MAY 2007, 3-5 HOURS PER MONTH, INCLUDING DURING TRADING, CFP AND CHFC. 3. ESTATE PLANNING TEAM, NON-INVESTMENT RELATED, 1515 INTERNATIONAL PARKWAY, SUITE #1019, LAKE MARY, FLORIDA, 32746, MARKETING OF THE DEFERRED SALES TRUST, MEMBER, BEGAN JUNE 2014, 10-15 HOURS PER MONTH, INCLUDING DURING TRADING. 4. DBA-BREEN FINANCIAL MANAGEMENT, INC. NON-INVESTMENT RELATED, 1515 INTERNATIONAL PARKWAY, SUITE #1019, LAKE MARY, FLORIDA 32746, REAL ESTATE BROKERAGE COPRORATION, QUALIFYING BROKER, MAINTIAINING LICENSES, BEGAN DECEMBER 2005, LIMITED HOURS, NONE DURING TRADING. 5. WORKSITE FINANCIAL PARTNERS, LLC, NON- INVESTMENT RELATED, 1515 INTERNATIONAL PARKWAY, SUITE #1019, LAKE MARY, FLORIDA, 32746, LLC HOLDING TITLE TO COMMERICIAL CONDOMINIUM, MANAGING MEMBER, PROPERTY MANAGEMENT FOR BREEN FINANCIAL MANAGEMENT AND TENANTS, BEGAN NOVEMBER 2004, LIMITED HOURS, NONE DURING TRADING. 6. PPH COMMERCIAL CONDOMINIUM ASSOCIATION, NON-INVESTMENT RELATED, 1515 INTERNATIONAL PARKWAY, SUITE #1019, LAKE MARY, FLORIDA 32746, CONDOMINIUM ASSOCIATION FOR THE BUILDING WHERE MY OFFICE IS LOCATED, PRESIDENT, BEGAN 2012, LIMITED HOURS, NONE DURING TRADING. 7. DST WEALTH MANAGEMENT, INVESTMENT RELATED, TAX MITIGATION, 10 HRS NOT DURING TRADING, 0% OWNERSHIP 8. SELL NOW DEFER TAX, LLC, NOT INVESTMENT RELATED, REAL ESTATE, 10 HRS NOT DURING TRADING, 100% OWNERSHIP
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Aloysius Breen III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
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: 1515 International Parkway Ste 1019, Lake Mary, FL 32746RIA
BD
CRD#: 141238
Lake Mary, FL
Current
January 3, 2020 - Present
DEMPSEY LORD SMITH, LLC
Office #1: 1515 International Parkway Ste 1019, Lake Mary, FL 32746RIA
BD
CRD#: 141238
Lake Mary, FL
Past
January 7, 2020 - January 8, 2020
DEMPSEY LORD SMITH, LLC
RIA
CRD#: 141238
ROME, GA
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".
DL
DEMPSEY LORD SMITH, LLC
1SOURCE | WRS | WEST COBB INVESTMENT GROUP | WEEKS RETIREMENT SOLUTIONS | WEALTH POINT ADVISORS NC | TIM COUCH PC CPA | THE HANEY COMPANY | THE DIAMOND GROUP INC. | STERN INVESTMENTS | SOUTHEAST ASSET MANAGEMENT | SHALIN FINANCIAL SERVICES, INC. | SC RETIREMENT PLANNING | S M SHAW | ROGER'S RETIREMENT READINESS ALLIANCE, LLC | RETIREMENT STRATEGY CONNECTION | RETIREMENT SOLUTIONS INC. | PREMIER TAX ADVISORS | PREFERRED FINANCIAL SOLUTIONS, LLC | PLUS POINT ADVISORS | PINPOINT FINANCIAL SERVICES, INC | PERRY GOSSETT INSURANCE | PARPARI ASSET MANAGEMENT INC. | OLNEY FINANCIAL | NEXSTONE FINANCIAL SOLUTIONS, INC | NATIC TAYLOR & CO LLC | MORGAN WEALTH MANAGEMENT | MICEL FINANCIAL, LLC | MARK MADDOX FINANCIAL | LYLES WEALTH MANAGEMENT | LEIGH FINANCIAL SERVICES | JLP INVESTMENTS INC | JESSE J GRIFFIN JR | INSURANCE WALA | ILLUMINATION FINANCIAL ADVISORS | HYDEPARK WEALTH ADVISORS | HOLLAND WEALTH MANAGEMENT | HN FINANCIAL GROUP | GRANDVIEW WEALTH MANAGEMENT | GIBSON RETIREMENT PLANNING | GERRELLS CPA | FRONT PAGE FINANCIAL ADVISORS, LLC | FRED ADAMS TAX | FOOTHILLS FINANCIAL STRATEGIES | FINANCIAL INTEGRITY GROUP | FALK WEALTH MANAGEMENT | EXCLUSIVE FINANCIAL STRATEGIES | ECKEL FINANCIAL | DEMPSEY, LORD, SMITH, LLC | DEMPSEY LORD SMITH, LLC | DEANS CONSULTING | CRESCENT WEALTH MANAGEMENT | CRESCENT WEALTH ADVISORS | CORNERSTONE FINANCIAL, LLC | CORE CAPITAL MARKETS, LLC | COPIA INVESTMENTS LLC | COOSA FINANCIAL PLANNING GEORGIA | COLABORATIVE INVESTMENT MANAGEMENT | CLAIR LORD JARRETT | CHARLES MURPHY INSURANCE | BROCK FINANCIAL SERVICES, INC. | BREEN FINANCIAL | BLANTON FINANCIAL GROUP | BENNETT & PORTER WEALTH MANAGEMENT & INSURANCE | BELMONT CAPTIAL ADVISORS | BAXTER INSURANCE AGENCY | AEGEUS FINANCIAL SOLUTIONS, INC. | ADAM SCOTT & ASSOCIATES | AAPT, LLC
CRD#: 141238 / SEC#: 801-108087, 8-67469
RIA
Registered Investment Advisory firm - SEC (7/25/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/20/2016 Terminated)Kentucky
Registered Investment Advisory firm - SEC (10/11/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/18/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (10/17/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Nevada
Registered Investment Advisory firm - SEC (10/31/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (10/4/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (10/4/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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(1/13/2020)
IAR
Alabama(1/13/2020)
RR
California(2/19/2020)
RR
Colorado(1/22/2020)
RR
Florida(1/13/2020)
IAR
Florida(1/13/2020)
RR
Georgia(1/8/2020)
RR
Illinois(2/10/2020)
RR
Kentucky(1/22/2020)
IAR
Kentucky(1/22/2020)
RR
Maine(1/7/2020)
RR
Massachusetts(2/11/2020)
RR
North Carolina(10/15/2024)
RR
Texas(1/7/2020)
RR
Washington(3/11/2021)
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
DL
DEMPSEY LORD SMITH, LLC
1SOURCE | WRS | WEST COBB INVESTMENT GROUP | WEEKS RETIREMENT SOLUTIONS | WEALTH POINT ADVISORS NC | TIM COUCH PC CPA | THE HANEY COMPANY | THE DIAMOND GROUP INC. | STERN INVESTMENTS | SOUTHEAST ASSET MANAGEMENT | SHALIN FINANCIAL SERVICES, INC. | SC RETIREMENT PLANNING | S M SHAW | ROGER'S RETIREMENT READINESS ALLIANCE, LLC | RETIREMENT STRATEGY CONNECTION | RETIREMENT SOLUTIONS INC. | PREMIER TAX ADVISORS | PREFERRED FINANCIAL SOLUTIONS, LLC | PLUS POINT ADVISORS | PINPOINT FINANCIAL SERVICES, INC | PERRY GOSSETT INSURANCE | PARPARI ASSET MANAGEMENT INC. | OLNEY FINANCIAL | NEXSTONE FINANCIAL SOLUTIONS, INC | NATIC TAYLOR & CO LLC | MORGAN WEALTH MANAGEMENT | MICEL FINANCIAL, LLC | MARK MADDOX FINANCIAL | LYLES WEALTH MANAGEMENT | LEIGH FINANCIAL SERVICES | JLP INVESTMENTS INC | JESSE J GRIFFIN JR | INSURANCE WALA | ILLUMINATION FINANCIAL ADVISORS | HYDEPARK WEALTH ADVISORS | HOLLAND WEALTH MANAGEMENT | HN FINANCIAL GROUP | GRANDVIEW WEALTH MANAGEMENT | GIBSON RETIREMENT PLANNING | GERRELLS CPA | FRONT PAGE FINANCIAL ADVISORS, LLC | FRED ADAMS TAX | FOOTHILLS FINANCIAL STRATEGIES | FINANCIAL INTEGRITY GROUP | FALK WEALTH MANAGEMENT | EXCLUSIVE FINANCIAL STRATEGIES | ECKEL FINANCIAL | DEMPSEY, LORD, SMITH, LLC | DEMPSEY LORD SMITH, LLC | DEANS CONSULTING | CRESCENT WEALTH MANAGEMENT | CRESCENT WEALTH ADVISORS | CORNERSTONE FINANCIAL, LLC | CORE CAPITAL MARKETS, LLC | COPIA INVESTMENTS LLC | COOSA FINANCIAL PLANNING GEORGIA | COLABORATIVE INVESTMENT MANAGEMENT | CLAIR LORD JARRETT | CHARLES MURPHY INSURANCE | BROCK FINANCIAL SERVICES, INC. | BREEN FINANCIAL | BLANTON FINANCIAL GROUP | BENNETT & PORTER WEALTH MANAGEMENT & INSURANCE | BELMONT CAPTIAL ADVISORS | BAXTER INSURANCE AGENCY | AEGEUS FINANCIAL SOLUTIONS, INC. | ADAM SCOTT & ASSOCIATES | AAPT, LLC
CRD#: 141238 / SEC#: 801-108087, 8-67469
RIA
Registered Investment Advisory firm - SEC (7/25/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/20/2016 Terminated)Kentucky
Registered Investment Advisory firm - SEC (10/11/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/18/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (10/17/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Nevada
Registered Investment Advisory firm - SEC (10/31/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (10/4/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (10/4/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
901 N Broad Street Suite 400, Rome, GA 30161
Mailing Address
901 N Broad Street Suite 400, Rome, GA 30161
Phone number
(706) 238-9575
Established
Georgia since 04/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
92
SEC notice filing (26 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,444 |
| AUM (Assets Under Management) | $ 580,450,609 |
Disclosures
| Regulatory Event | 6 |
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.
