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Duvan Ledbetter Brock

DEMPSEY LORD SMITH, LLC·ROME, Georgia
DEMPSEY 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
Brand Profile
Not yet started
Disclosure history
3 disclosures on file · See FINRA BrokerCheck for full record
01

About

Duvan Ledbetter Brock is a registered financial advisor based in ROME, Georgia, affiliated with DEMPSEY LORD SMITH, LLC. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Client Types
Individuals
High Net Worth Individuals
Introduction

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03

Firm Overview

Firm
DEMPSEY LORD SMITH, LLC
DEMPSEY LORD SMITH, LLC
AUM
$586M
Regulatory assets under management
Employees
106
Total firm employees
View all advisors at DEMPSEY LORD SMITH, LLC →
Services
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Security ratings or pricing services
04

Background

Compensation
Percentage of AUM
Hourly charges
Subscription fees
Regulatory
SEC/IARD CRD# 1632101
Firm CRD# 141238
View on FINRA BrokerCheck →

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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 is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
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

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

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Research
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