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Duvan Ledbetter Brock

DEMPSEY LORD SMITH, LLC·ROME, Georgia
SIE, Series 7, Series 24, Series 63CFPChFC23 years registeredDEMPSEY LORD SMITH, LLC
901 N BROAD STREET, ROME, GA 30161CRD# 1632101Firm CRD# 141238

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Duvan Ledbetter Brock · ROME, GA
Registration
CRD #1632101 · DEMPSEY LORD SMITH, LLC · 23 years registered
Brand Profile
Not yet started
01

Career History

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Dec 2025 – present
DEMPSEY LORD SMITH, LLC
Jan 2026 – Apr 2026
ROME, GA
DEMPSEY LORD SMITH, LLC
Aug 2009 – Dec 2025
CALHOUN, GA
AMERIPRISE FINANCIAL SERVICES, INC.
Feb 2003 – Aug 2009
CALHOUN, GA
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 24
Series 63
Registration record
First registered · February 4, 2003
Years registered · 23
Professional designations · CFP, ChFC
03

Disclosure History

2024Customer Dispute·Settled
2016Customer Dispute·Denied

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
DEMPSEY LORD SMITH, LLC
CRD 141238 · SEC 801-108087
AUM
$586M
Regulatory assets under management
Employees
106
3,106 client accounts
Services offered by DEMPSEY LORD SMITH, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at DEMPSEY LORD SMITH, LLC →
Introduction

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05

Frequently Asked Questions

What services does Duvan Ledbetter Brock offer?
Duvan Ledbetter Brock specializes in Financial Planning, Investment Management. Contact their office in ROME, Georgia for a consultation.
What are Duvan Ledbetter Brock's credentials?
Duvan Ledbetter Brock holds the following professional designations: CFP, ChFC. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Duvan Ledbetter Brock located?
Duvan Ledbetter Brock is based in ROME, Georgia, working with DEMPSEY LORD SMITH, LLC. Their office serves clients in the ROME metropolitan area and surrounding communities.
How does Duvan Ledbetter Brock charge for services?
Duvan Ledbetter Brock's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is DEMPSEY LORD SMITH, LLC?
DEMPSEY LORD SMITH, LLC has approximately 106 employees and manages $586M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at DEMPSEY LORD SMITH, LLC

John Hayward Lord
ROME, GA
Ernest Liddell Smith
ROME, GA
Kathi Renee Mansfield
ROME, GA
Jerry Eskel Jr Dempsey
ROME, GA

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Research
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