Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Maddox is an investment advisor representative with Dempsey Lord Smith, LLC and has been in the industry since February 2002. James has registrations in Georgia, Mississippi, and holds the Series 6, Series 63, Series 65, Series 22, and SIE exams. James also has experience with Midamerica Financial Services, Inc. and MetLife Securities Inc. James is a minister at First United Pentecostal Church and has an active advisory practice in Evans, GA. Dempsey Lord Smith, LLC is an SEC registered investment adviser with approximately $585 million in assets under management. The firm provides financial planning, portfolio management, and selection of other advisors to individuals and pension plans.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
GA
12/16/2014 - Present
Dempsey Lord Smith, LLC (EVANS GA)
GA
04/09/2014 - 11/25/2014
MIDAMERICA FINANCIAL SERVICES, INC. (Evans GA)
SC
04/27/2000 - 06/28/2012
METLIFE SECURITIES INC. (COLUMBIA SC)
GA
04/27/2000 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (AUGUSTA GA)
IA
Issued 09/10/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2015
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 04/26/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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