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JD

Jerry E. Dempsey

DEMPSEY LORD SMITH
ROME, GA 30161
Some features on this profile are disabled
CRD#: 1869325
JD

Professional summary

Jerry Eskel Dempsey JR, who also goes by Jerry Eskel Dempsey, is a registered financial advisor currently at DEMPSEY LORD SMITH, LLC located in Rome, Georgia.

Jerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Jerry has worked at 3 firms and has passed the Series 63, Series 65, Series 52TO, Series 99TO, SIE, Series 7, Series 2, Series 4, Series 28, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jerry Eskel Dempsey

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. DEMPSEY FINANCIAL SERVICES, INC./NOT INVESTMENT RELATED/901 N BROAD STREET ROME, GA 30161/INSURANCE AGENCY/PRESIDENT/06/1992/15 HRS/MO/1 HR/WEEK TRADING HOURS/MANAGEMENT 2. DLS FINANCIAL, LLC/NOT INVESTMENT RELATED/901 N BROAD STREET ROME, GA 30161/REAL ESTATE/MANAGING MEMBER/02/2006/30 HRS/MONTH/2 HRS/WEEK TRADING HRS/MANAGEMENT 3. ROME TRUCK PARTS & REPAIR, INC./NOT INVESTMENT RELATED/241 DEMPSEY RD ROME, GA 30161/WHOLESALE TRUCK PARTS/VICE PRES/03/1989/4 HRS/MO/0 HRS TRADING HOURS/OVERSEE ACCOUNTING. 4. ADVISORLYNX LLC, SOFTWARE-AS-A-SERVICE, 10% OWNERSHIP, 20 HRS MO. DURING TRADING HRS, START 5/4/23

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry Eskel Dempsey JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jerry Eskel Dempsey JR's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 20, 2007 - Present

DEMPSEY LORD SMITH, LLC

Office #1: 901 N Broad Street Suite 400, Rome, GA 30161Office #2: 901 N Broad Street Suite 400, Rome, GA 30161Office #3: 901 N. Broad Street - Ste 400, Rome, GA 30161Office #5: 1418 Bankhead Hwy, Carrollton, GA 30116Office #6: 3200 N. Hayden Rd #310, Scottsdale, AZ 85251Office #7: 5605 Glenridge Drive Suite 950, Atlanta, GA 30342
RIA
BD
CRD#: 141238
ROME, GA
Current

March 16, 2007 - Present

DEMPSEY LORD SMITH, LLC

Office #1: 901 N Broad Street Suite 400, Rome, GA 30161Office #2: 901 N Broad Street Suite 400, Rome, GA 30161Office #4: 1418 Bankhead Hwy, Carrollton, GA 30116Office #5: 3200 N. Hayden Rd #310, Scottsdale, AZ 85251Office #6: 5605 Glenridge Drive Suite 950, Atlanta, GA 30342
RIA
BD
CRD#: 141238
ROME, GA
Past

June 14, 1996 - May 21, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ROME, GA
Past

September 20, 1988 - April 5, 1989

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691

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
(7/16/2007)
RR
California
(10/31/2012)
RR
Colorado
(7/19/2007)
RR
District of Columbia
(2/24/2015)
RR
Florida
(7/18/2007)
RR
Georgia
(3/20/2007)
IAR
Georgia
(3/20/2007)
RR
Idaho
(12/1/2014)
RR
Indiana
(2/3/2015)
RR
Kentucky
(4/23/2024)
RR
Massachusetts
(1/2/2013)
RR
Michigan
(6/2/2016)
RR
Mississippi
(1/6/2014)
RR
Nebraska
(10/3/2022)
RR
Nevada
(10/28/2013)
RR
New Hampshire
(6/20/2016)
RR
New Jersey
(8/11/2015)
RR
New Mexico
(5/11/2010)
RR
New York
(4/17/2024)
RR
North Carolina
(5/24/2007)
RR
North Dakota
(1/23/2015)
RR
Oregon
(7/12/2012)
RR
South Carolina
(12/23/2019)
RR
South Dakota
(11/7/2016)
RR
Tennessee
(11/20/2009)
RR
Texas
(1/3/2022)
RR
Utah
(11/17/2014)
RR
Washington
(11/21/2014)
RR
West Virginia
(11/14/2016)
RR
Wyoming
(12/10/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/17/1996
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/13/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 8/19/1994
Non-Member General Securities Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/12/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 12/8/2006
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/13/2004
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/11/2002
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DEMPSEY LORD SMITH LLC - WRAP FEE BROCHURE (3/31/2025)
DEMPSEY LORD SMITH LLC - FIRM BROCHURE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
DEMPSEY, JERRY ESKEL JRCHIEF EXECUTIVE OFFICER1869325
BROCK, DUVAN LEDBETTERVICE PRESIDENT RECRUITING AND DUE DILIGENCE1632101
LORD, JOHN HAYWARDCHIEF COMPLIANCE OFFICER1352023
SMITH, ERNEST LIDDELLVICE PRESIDENT SALES AND MARKETING2205253

Regulatory assets under management

Total Number of Accounts2,444
AUM (Assets Under Management)$ 580,450,609

Disclosures

Regulatory Event6

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.

Company Information

DEMPSEY LORD SMITH, LLC

CRD#: 141238Rome, GA 30161

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