Broker Check

About The Firm

Dempsey Lord Smith, LLC has been independently owned and operated by our founding members since 2007. From day one, they focused on these key functions to help their independent financial advisors thrive:

  • Thorough risk management solutions
  • Comprehensive compliance
  • Extensive due diligence processes
  • Open Architecture

We are proud to continue our legacy by remaining a relationship-driven firm focused on addressing the complex needs of today’s successful independent financial advisor. Our modest size is intentional, as it is what allows us to deliver quality, high-touch service to advisors and their clients. Our products, services and industry-leading technology rivals that of the largest independent firms in the country to ensure a truly exceptional experience.

As an independent financial advisor, choosing to partner with Dempsey Lord Smith, LLC means you’ll receive friendly, efficient and prompt back-office service, and the support you need to succeed. As your broker-dealer, our goal is to provide the tools and resources necessary so you can deliver the best possible service to your clients.

When you join our family of independent financial advisors, you’ll gain a team of experienced professionals dedicated to helping you and your business thrive.


Our Owners, Duvan, John, Ernie and Jerry

Our Owners, Duvan, John, Ernie and Jerry

Trust.  Honesty.  Integrity.  We believe values matter, and we live by ours every day.