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Helen George Hicks

Dempsey Lord Smith, LLC

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About Helen George Hicks

Helen Hicks has been an active securities professional for over 30 years. Helen has a deep understanding of the financial markets and has helped countless clients reach their financial goals. Helen currently works at Dempsey Lord Smith, LLC in Calhoun, Georgia. Before joining Dempsey Lord Smith, LLC, Helen was a registered representative at WALLSTREET ELECTRONICA, INC. and RAYMOND JAMES FINANCIAL SERVICES, INC. Helen is a Series 7, Series 63 and Series 99TO licensed professional.

Firm Information

Helen Hicks 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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Helen Hicks’s Registration & Firm History

GA

04/16/2007 - Present

Dempsey Lord Smith, LLC (CALHOUN GA)

GA

11/10/2003 - 07/02/2007

WALLSTREET ELECTRONICA, INC. (CALHOUN GA)

FL

11/30/1990 - 11/12/2003

RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)

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Licenses & Designations

BC

Issued 12/05/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/20/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Helen George Hicks.
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