GH
Gal G. Horev
DEMPSEY LORD SMITH
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 5138931
GH
Professional summary
Gal Gali Horev, who also goes by Gali Horev, is a registered financial advisor currently at DEMPSEY LORD SMITH, LLC located in Irvine, California.
Gal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Gal has worked at 10 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gali Horev
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)GIFA INC (Doing Business As), Investment Related, 17595 HARVARD AVE. IRVINE CA PRESIDENT 0-5 HOURS TIME DEVOTED 2)REAL ESTATE CONSULTING, NON-INVESTMENT RELATED,17595 HARVARD AVE. IRVINE CA CONSULTING, SELF-EMPLOYED, START DATE: 08/2013, 0-5 HOURS PER MONTH, NONE DURING TRADING HOURS, REAL ESTATE REFERRAL 3) GENERAL INSURANCE AGENT FOR VARIOUS INSURANCE AGENCIES, FIA INSURANCE AGENT WITH MAGELLAN FMO, IAMS AND UFC, INVESTMENT RELATED, 17595 HARVARD AVE IRVINE, CA, FIXED INSURANCE AGENT START DATE: 04/1997, 10/HOURS MONTH 4) HN FINANCIAL GROUP; IRVINE, CA. 40 HRS PER WEEK DURING TRADING FINANCIAL AND INVESTMENT ADVISE. 5) SELF EMPLOYED REFERRAL/CONSULTANT BUSINESS FOR MORTGAGE, CPA AND REAL ESTATE, NOT INVESTMENT RELATED 6) DREAM DESERT RETREAT, LLC, NOT INVESTMENT RELATED, LA QUINTA, CA, VACATION RENTAL, 50% OWNER WITH WIFE, START: 2/2021, 0 HOURS 7) SPLASH OASIS RETREAT, LLC, NOT INVESTMENT RELATED, VACATION RENTAL, 100% OWNER , START: 5/2021, 0 HOURS 8) DLRS CONSULTING GROUP, LLC, STARTED THE LLC FOR CONSULTNG PURPOSES HOWEVER THE ENTITY HAS BEEN BEEN ACTIVE OR DONE ANY BUSINESS 9) RED MOUNTAIN SPLASH, NOT INVESTMENT RELATED, 50% WITH WIFE, WIFE HANDLES ALL DAY TO DAY OPERATIONS AND MANAGEMENT
CRS (Client Relationship Summary) - RIA
Click below to view Gal Gali Horev's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gal Gali Horev'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 1, 2017 - Present
DEMPSEY LORD SMITH, LLC
Office #1: 19800 Macarthur Blvd. Suite #300, Irvine, CA 92612RIA
BD
CRD#: 141238
Irvine, CA
Current
February 6, 2017 - Present
DEMPSEY LORD SMITH, LLC
Office #1: 19800 Macarthur Blvd. Suite #300, Irvine, CA 92612RIA
BD
CRD#: 141238
Irvine, CA
Past
February 21, 2012 - February 24, 2017
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
IRVINE, CA
Past
January 4, 2012 - February 17, 2017
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
IRVINE, CA
Past
August 9, 2010 - December 31, 2011
AMERICAN INVESTORS COMPANY
RIA
CRD#: 38
IRVINE, CA
Past
May 25, 2010 - December 31, 2011
AMERICAN INVESTORS COMPANY
BD
CRD#: 38
SAN RAMON, CA
Past
September 25, 2009 - May 26, 2010
PRIVATE ASSET ADVISORS, INC.
RIA
CRD#: 142322
COSTA MESA, CA
Past
September 23, 2009 - April 27, 2010
PRIVATE ASSET GROUP, INC.
BD
CRD#: 142541
COSTA MESA, CA
Past
October 16, 2008 - September 23, 2009
FINANCIAL WEST GROUP
RIA
CRD#: 16668
LOS ANGELES, CA
Past
October 16, 2008 - September 23, 2009
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
March 29, 2007 - October 29, 2008
MORGAN PEABODY, INC.
BD
CRD#: 38306
SHERMAN OAKS, CA
Past
January 18, 2007 - March 30, 2007
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
LONG BEACH, CA
Past
January 9, 2007 - March 30, 2007
SPC
RIA
CRD#: 110692
LONG BEACH, 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
Arizona(4/27/2018)
IAR
Arizona(5/1/2018)
RR
California(2/6/2017)
IAR
California(11/1/2017)
RR
Colorado(2/6/2017)
RR
Florida(2/6/2017)
RR
Idaho(8/24/2017)
RR
Nevada(5/31/2019)
RR
North Carolina(8/13/2025)
RR
Oregon(4/18/2023)
RR
Pennsylvania(5/7/2024)
RR
Texas(8/24/2017)
RR
Virgin Islands(8/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General 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.
