BH
Brian J. Haney
DEMPSEY LORD SMITH
SILVER SPRING, MD
Some features on this profile are disabled
CRD#: 4869021
BH
Professional summary
Brian Joseph Haney, who also goes by Brian Haney, is a registered financial advisor currently at DEMPSEY LORD SMITH, LLC located in Silver Spring, Maryland.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Haney
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)THE HANEY COMPANY LOCATED AT 308 SOUTHWEST DR, SILVER SPRING MD 20901. FAMILY-OWNED INSURANCE BROKERAGE CONCENTRATED ON THE ASSOCIATION MARKETPLACE. WEBSITE: WWW.THEHANEYCOMPANY.COM. POSITION: VP & LICENSED INSURANCE AGENT (RESPONSIBLE FOR SALES AND CLIENT MANAGEMENT OF CORPORATE CLIENTS). COMPENSA (2) THE HANEY COMPANY LOCATED AT 308 SOUTHWEST DR, SILVER SPRING MD 20901. EMPLOYEE BENEFITS, PROPERTY & CASUAL INSURANCE, INDIVIDUAL & GROUP LIFE, HEALTH, DISABILITY & LTC; BUSINESS & INSURANCE CONSULTING. WEBSITE: WWW.THEHANEYCOMPANY.COM. POSITION: VP & FOUNDER (HELP RUN A FULL SERVICE FAMILY OWNED AND OPERATED FINANCIAL FIRM). COMPENSATION IN FORM OF W2 SALARY. 25 HOURS PER WEEK, DURING TRADING HOURS. (3) National Association of Insurance and Financial Advisors (NAIFA) - supports the financial services industry through political advocacy, professional ethics, along with professional development of members. Greater Washington 600 State Street SuitTION IN THE FORM OF COMMISSIONS. 20 HOURS PER WEEK, DURING TRADING HOURS. e A Cedar Falls, IA 5061; www.naifa-gwdc.org; Serve as Immediate Past President, and long time board member serving local chapter. This is a volunteer position with no compensation or financial investment - 5 hours per week with some events held during normal business hours. (4) AUTHOR OF BOOK "THE RETIREMENT INCOME PYRAMID" DETAILING VARIOUS OPTIONS AVAILABLE FOR GENERATING INCOME IN RETIREMENT; ROYALTIES FROM BOOK SALES; 3 HOURS PER WEEK DURING NORMAL BUSINESS HOURS (5) BRIAN HANEY - PROFESSIONAL SPEAKER; ASSOCIATIONS AND ORGANIZATIONS HIRE TO SPEAK ON A VARIETY OF TOPICS AND/OR HOST BREAKOUT SESSIONS TO EDUCATE THEIR MEMBERS OR ATTENDEES; COMPENSATION IN THE FORM OF SPEAKING FEES AND TRAVEL EXPENSE REIMBURSEMENT; LESS THAN 5 HOURS PER WEEK, DURING TRADING HOURS. (6) ADVSIOR BRANDING SOLUTIONS; 308 SOUTHWEST DRIVE SILVER SPRING, MD 20901; ADVISOR BRANDING COACHING AND CONSULTING; WWW.ADVISORBRANDINGSOLUTIONS.COM; PROFESSIONAL SPEAKER, COACH AND BRAND CONSULTANT FOR FINANCIAL INDUSTRY PROCESSIONAL; COMPENSATION IN THE FORM OF FEE-FOR-SERVICE; LESS THAN 10 HOURS PER WEEK, DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Joseph Haney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Joseph Haney'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
November 11, 2022 - Present
DEMPSEY LORD SMITH, LLC
RIA
BD
CRD#: 141238
SILVER SPRING, MD
Current
November 11, 2022 - 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: 276 Curtis Parkway Ne, Calhoun, GA 30701RIA
BD
CRD#: 141238
ROME, GA
Past
March 9, 2018 - November 11, 2022
REALTA EQUITIES, INC.
BD
CRD#: 23769
Silver Spring, MD
Past
March 5, 2018 - November 11, 2022
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
Silver Spring, MD
Past
October 22, 2015 - May 1, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ROCKVILLE, MD
Past
September 6, 2007 - May 1, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ROCKVILLE, MD
Past
April 3, 2006 - July 18, 2007
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
BETHESDA, MD
Past
December 7, 2004 - December 12, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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
Arizona(11/11/2022)
RR
California(11/11/2022)
RR
District of Columbia(11/11/2022)
RR
Florida(11/11/2022)
RR
Illinois(11/30/2022)
RR
Maryland(11/11/2022)
IAR
Maryland(11/11/2022)
RR
New York(11/11/2022)
RR
Pennsylvania(11/14/2022)
RR
Virginia(11/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/31/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
