Broker Check

FAQs

Can I Use My DBA?

  • Not only do we allow you to use a DBA, but in fact encourage it.  Branding your financial practice within your specific market is important, and we understand that.  As an independent broker-dealer, our goal is to empower you to run your business the way you choose — which includes supporting your unique brand. At the end of the day, we’re here to help you grow your book of business and thrive.

Does Dempsey Lord Smith, LLC Push Proprietary Products?

  • We do not have any proprietary products.  At Dempsey Lord Smith, LLC, you have complete freedom to run your practice your way  -  with products and services that best fit the needs of your clients.

How Often Are Commissions Paid?

  • Twice monthly. You’ll be paid on the 15th and the last day of the month for any commission funds we receive for the prior commission period. Click Here for 2019 Commission Schedule

Does Dempsey Lord Smith, LLC Impose Production Requirements?

  • We understand that every advisor’s situation is unique. There are many factors that can impact an independent financial advisor’s production, and our responsibility is to support — not pressure you with quotas or sales requirements.  However, we strive for a minimum production of $100,000 GDC per representative.

Does Dempsey Lord Smith, LLC allow For Hybrid Advisors?

  • Yes. We allow for and support the hybrid advisor

Client Centered

Our business is built on a foundation of thoughtful client relationships.