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Kathi Renee Mansfield

DEMPSEY LORD SMITH, LLC·ROME, Georgia
SIE, Series 7, Series 14, Series 24, Series 52TO, Series 53, Series 63, Series 79TOClean recordDEMPSEY LORD SMITH, LLC
901 N BROAD STREET, ROME, GA 30161CRD# 1196870Firm CRD# 141238

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Kathi Renee Mansfield · ROME, GA
Registration
CRD #1196870 · DEMPSEY LORD SMITH, LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 14
Series 24
Series 52TO
Series 53
Series 63
Series 79TO
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

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 Kathi Renee Mansfield offer?
Kathi Renee Mansfield specializes in Financial Planning, Investment Management. Contact their office in ROME, Georgia for a consultation.
What are Kathi Renee Mansfield's credentials?
Kathi Renee Mansfield is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Kathi Renee Mansfield located?
Kathi Renee Mansfield 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 Kathi Renee Mansfield charge for services?
Kathi Renee Mansfield'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
Duvan Ledbetter Brock
ROME, GA
CFPChFC
Jerry Eskel Jr Dempsey
ROME, GA

Browse by Specialty

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Research
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