BB
Barbara J. Borowsky
DEMPSEY LORD SMITH
THE VILLAGES, FL
Some features on this profile are disabled
CRD#: 2570936
BB
Professional summary
Barbara Jean Borowsky, who also goes by Baraba Jean Borowsky, Barbara J Borowsky, is a registered financial advisor currently at DEMPSEY LORD SMITH, LLC located in The Villages, Florida.
Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Barbara has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Baraba Jean Borowsky | Barbara J Borowsky
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. Independent Insurance Agent (Life and Disability), 5/1997, non-investment related, 15-20 hours a week during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Jean Borowsky's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barbara Jean Borowsky'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
September 18, 2017 - Present
DEMPSEY LORD SMITH, LLC
RIA
BD
CRD#: 141238
THE VILLAGES, FL
Current
October 15, 2016 - 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 30161RIA
BD
CRD#: 141238
ROME, GA
Past
April 2, 2019 - December 21, 2020
RETIREMENT CASH FLOW GROUP, LLC
RIA
CRD#: 285843
Alpharetta, GA
Past
November 29, 2016 - December 31, 2018
RETIREMENT CASH FLOW GROUP, LLC
RIA
CRD#: 285843
Alpharetta, GA
Past
August 15, 2016 - October 13, 2016
REALTA EQUITIES, INC.
BD
CRD#: 23769
Roswell, GA
Past
May 27, 2009 - November 2, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
ALTANTA, GA
Past
May 25, 2009 - November 2, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
April 2, 2004 - December 9, 2008
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
ATLANTA, GA
Past
September 26, 2003 - December 9, 2008
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
April 22, 2003 - September 29, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TUCKER, GA
Past
October 1, 2000 - September 29, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 13, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
February 14, 2000 - June 30, 2000
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
December 23, 1994 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
BD
CRD#: 17503
WINSTON SALEM, NC
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(8/4/2025)
RR
Arkansas(4/17/2023)
RR
California(6/28/2018)
RR
Colorado(10/22/2021)
RR
Connecticut(12/18/2017)
RR
Florida(10/15/2016)
RR
Georgia(10/15/2016)
IAR
Georgia(9/18/2017)
RR
Illinois(6/17/2020)
RR
Kentucky(2/22/2023)
RR
Louisiana(4/7/2025)
RR
Maryland(12/6/2017)
RR
Michigan(12/20/2024)
RR
Minnesota(8/22/2023)
RR
Missouri(8/7/2020)
RR
New York(9/4/2018)
RR
North Carolina(10/15/2016)
RR
Ohio(2/21/2023)
RR
Pennsylvania(4/22/2020)
RR
South Carolina(10/15/2016)
RR
South Dakota(7/27/2023)
RR
Tennessee(8/10/2021)
RR
Texas(6/29/2018)
RR
Virginia(12/4/2017)
Exams
State Security Law Exam
State Security Law 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.
