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Ernest Liddell Smith

Dempsey Lord Smith, LLC

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About Ernest Liddell Smith

Ernest Liddell Smith is a financial advisor based in Rome, Georgia. Ernest has been in the financial industry since February 1992. Ernest is currently registered with Dempsey Lord Smith, LLC and is licensed to provide investment advice in Alabama, Florida, Georgia, Missouri, New York, North Carolina, Pennsylvania, Texas, and Virginia. Ernest's areas of expertise include financial planning, pension consulting, and selection of other advisors. Ernest has a broad range of experience serving both high-net-worth individuals and individual clients.

Firm Information

Ernest Smith 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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Ernest Smith’s Registration & Firm History

GA

03/20/2007 - Present

Dempsey Lord Smith, LLC (ROME GA)

GA

02/28/2001 - 05/21/2007

RAYMOND JAMES FINANCIAL SERVICES, INC. (ROME GA)

AZ

02/07/1992 - 03/02/2001

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

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Licenses & Designations

IA

Issued 01/24/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/13/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/04/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/06/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 7 public disclosures for Ernest Liddell Smith. Review regulatory record here.
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