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Dillon Thomas ledbetter Brock

Dempsey Lord Smith, LLC

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About Dillon Thomas ledbetter Brock

Dillon Brock is a financial advisor with Dempsey Lord Smith, LLC, registered with FINRA and the SEC. Dillon is a dedicated financial professional with over 4 years of experience in the financial services industry, having started their career at Jacksonville State University in 2014. Dillon is Series 7 and Series 66 licensed and holds a SIE. Dillon specializes in financial planning and investment management for individuals and offers a variety of financial services, including pension consulting and the selection of other advisors. Dillon is committed to providing their clients with personalized financial advice that meets their individual needs and goals.

Firm Information

Dillon Brock is currently registered with Dempsey Lord Smith, LLC. Dempsey Lord Smith, LLC is a Limited Liability Company formed in Georgia in 2006. The firm provides financial planning and portfolio management services to individuals, families, and pension and profit-sharing plans. They are registered with the SEC and in all 50 states, plus Puerto Rico and the Virgin Islands. The firm's regulatory assets under management total over $585 million across 3,106 accounts. Dempsey Lord Smith, LLC also participates in wrap fee programs.
Dempsey Lord Smith, LLC

901 N BROAD STREET

ROME, GA 30161

$585.61M

Assets Under Management

1,675

Total Clients

89

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Dillon Brock’s Registration & Firm History

GA

08/28/2018 - Present

Dempsey Lord Smith, LLC (CALHOUN GA)

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Licenses & Designations

BOTH

Issued 08/27/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/05/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dillon Thomas ledbetter Brock.
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