MM
Michelle M. Martin-yoder
DEMPSEY LORD SMITH
Carrollton, GA 30116
Some features on this profile are disabled
CRD#: 2079685
MM
Professional summary
Michelle Marie Martin-yoder, who also goes by Michelle Marie Martin, is a registered financial advisor currently at DEMPSEY LORD SMITH, LLC located in Carrollton, Georgia.
Michelle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Michelle has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michelle Marie Martin
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.RENTAL PROPERTIES-NON INVESTMENT RELATED START DATE 3/9/2009 LESS THAN ONE HOUR PER MONTH DURING SECURITIES TRADING HOURS. MANAGES THE PROPERTY AND PAYS MONTHLY BILLS. 2. INSURANCE SALES- AGENT. GET QUOTES AND SELL LIFE INSURANCE OR LTC THROUGH CRUMP. START DATE-11/17/2010. 1-5HRS/MO, ALL DURING TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Michelle Marie Martin-yoder's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michelle Marie Martin-yoder'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®
NoneExperience
Current
February 22, 2012 - Present
DEMPSEY LORD SMITH, LLC
Office #1: 1418 Bankhead Hwy, Carrollton, GA 30116RIA
BD
CRD#: 141238
Carrollton, GA
Current
February 22, 2012 - Present
DEMPSEY LORD SMITH, LLC
Office #1: 1418 Bankhead Hwy, Carrollton, GA 30116RIA
BD
CRD#: 141238
Carrollton, GA
Past
March 9, 2009 - March 7, 2012
CANTELLA & CO., INC.
RIA
CRD#: 13905
CARROLLTON, GA
Past
March 9, 2009 - March 7, 2012
CANTELLA & CO., INC.
BD
CRD#: 13905
CARROLLTON, GA
Past
January 2, 2009 - March 10, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SAINT PETERSBURG, FL
Past
April 17, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
CARROLLTON, GA
Past
April 4, 2003 - March 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CARROLLTON, GA
Past
October 24, 1997 - April 16, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ATLANTA, GA
Past
October 24, 1997 - April 16, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 31, 1993 - October 30, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 28, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
January 21, 1991 - May 13, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 4, 1990 - January 21, 1991
FAIRCHILD FINANCIAL GROUP, INC.
BD
CRD#: 21404
NEW YORK, NY
Past
November 27, 1990 - December 6, 1990
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past
October 15, 1990 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
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
California(1/9/2013)
RR
Connecticut(2/22/2012)
RR
Florida(2/22/2012)
RR
Georgia(2/22/2012)
IAR
Georgia(2/22/2012)
RR
Indiana(5/20/2021)
RR
Maryland(2/22/2012)
RR
Michigan(2/22/2012)
RR
Montana(2/20/2015)
RR
Nevada(1/22/2014)
RR
New Jersey(6/2/2015)
RR
Oregon(7/12/2012)
RR
Pennsylvania(8/23/2012)
RR
Texas(1/14/2014)
RR
Virginia(4/10/2019)
RR
West Virginia(11/21/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
DEMPSEY LORD SMITH, LLC
CRD#: 141238Carrollton, GA 30116TRUST BUT VERIFY
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