Unclaimed Profile

John Hayward Lord

DEMPSEY LORD SMITH, LLC·ROME, Georgia

SIE, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 6623 years registeredDEMPSEY LORD SMITH, LLC

901 N BROAD STREET, ROME, GA 30161CRD# 1352023Firm CRD# 141238

Profile Verification

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

Identity

John Hayward Lord · ROME, GA

Registration

CRD #1352023 · DEMPSEY LORD SMITH, LLC · 23 years registered

Brand Profile

Not yet started

Career History

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Nov 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

Apr 2003 – Nov 2003

CALHOUN, GA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 66

Registration record

First registered · April 23, 2003

Years registered · 23

Disclosure History

2025Customer Dispute·Pending

2024Customer Dispute·Settled

2023Customer Dispute·Settled

4 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 John Hayward Lord offer?

John Hayward Lord specializes in Financial Planning, Investment Management. Contact their office in ROME, Georgia for a consultation.

What are John Hayward Lord's credentials?

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

Where is John Hayward Lord located?

John Hayward Lord 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 John Hayward Lord charge for services?

John Hayward Lord'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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