Unclaimed Profile

Ernest Liddell Smith

DEMPSEY LORD SMITH, LLC·ROME, Georgia

SIE, Series 7, Series 24, Series 63, Series 6520 years registeredDEMPSEY LORD SMITH, LLC

901 N BROAD STREET, ROME, GA 30161CRD# 2205253Firm CRD# 141238

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Ernest Liddell Smith · ROME, GA

Registration

CRD #2205253 · DEMPSEY LORD SMITH, LLC · 20 years registered

Brand Profile

Not yet started

Career History

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Dec 2025 – present

DEMPSEY LORD SMITH, LLC

Jan 2026 – Apr 2026

ROME, GA

DEMPSEY LORD SMITH, LLC

Mar 2007 – Dec 2025

ROME, GA

RAYMOND JAMES FINANCIAL SERVICES

Feb 2006 – May 2007

ROME, GA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · February 24, 2006

Years registered · 20

Disclosure History

2024Customer Dispute·Settled

2002Customer Dispute·Settled

2002Regulatory·Final

8 disclosure events on file · Verify on FINRA BrokerCheck →

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

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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Frequently Asked Questions

What services does Ernest Liddell Smith offer?

Ernest Liddell Smith specializes in Financial Planning, Investment Management. Contact their office in ROME, Georgia for a consultation.

What are Ernest Liddell Smith's credentials?

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

Where is Ernest Liddell Smith located?

Ernest Liddell Smith 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 Ernest Liddell Smith charge for services?

Ernest Liddell Smith'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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