Jeanne F. Dillard

DEMPSEY LORD SMITH

ROME, GA 30161

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CRD#: 5429643

Professional summary

Jeanne Fay Dillard is a registered financial professional currently at DEMPSEY LORD SMITH, LLC located in Rome, Georgia.

Jeanne is registered as a RR (Registered Representative) and started their career in finance in 2012. Jeanne has worked at 1 firm and has passed the SIE and Series 99 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeanne Fay Dillard'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

May 8, 2012 - Present

DEMPSEY LORD SMITH, LLC

Office #1: 901 N Broad Street Suite 400, Rome, GA 30161

RIA

CRD#: 141238

ROME, GA

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".

DEMPSEY LORD SMITH, 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)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99

Date: 5/7/2012

Operations Professional Examination

SRO Registrations

FINRA

Current Firm

DEMPSEY LORD SMITH, 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)

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

SEC notice filing (26 States and Territories)

FINRA licenses (53 States and Territories)

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

Name	Position	CRD#
DEMPSEY, JERRY ESKEL JR	CHIEF EXECUTIVE OFFICER	1869325
BROCK, DUVAN LEDBETTER	VICE PRESIDENT RECRUITING AND DUE DILIGENCE	1632101
LORD, JOHN HAYWARD	CHIEF COMPLIANCE OFFICER	1352023
SMITH, ERNEST LIDDELL	VICE PRESIDENT SALES AND MARKETING	2205253

Regulatory assets under management

Total Number of Accounts	2,444
AUM (Assets Under Management)	$ 580,450,609

Disclosures

Regulatory Event

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.

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Jeanne F. Dillard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeanne Fay Dillard's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEMPSEY LORD SMITH, LLC

Primary Firm SEC Registration

DEMPSEY LORD SMITH, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 99

Date: 5/7/2012

FINRA

Current Firm

DEMPSEY LORD SMITH, LLC

Contact information

SEC notice filing (26 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

DEMPSEY LORD SMITH, LLC

TRUST BUT VERIFY

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