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Louis Alan Gary

Dempsey Lord Smith, LLC

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About Louis Alan Gary

Louis Alan Gary is a financial advisor with Dempsey Lord Smith, LLC. Louis has been a financial advisor since 2003. Louis is registered with the state of Georgia as an Investment Advisor Representative. Louis specializes in financial planning, portfolio management for individuals, and pension consulting. Louis has also been registered as an Investment Advisor Representative with Amerprise Financial Services, Inc. Louis is based in Tucker, Georgia and has been with Dempsey Lord Smith, LLC since 2016.

Firm Information

Louis Gary 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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Louis Gary’s Registration & Firm History

GA

12/14/2016 - Present

Dempsey Lord Smith, LLC (TUCKER GA)

GA

09/09/2008 - 09/30/2016

AMERIPRISE FINANCIAL SERVICES, INC. (ATLANTA GA)

GA

05/22/2007 - 05/05/2008

MORGAN STANLEY & CO. INCORPORATED (ATLANTA GA)

GA

10/14/2005 - 03/22/2007

COMMONWEALTH FINANCIAL NETWORK (ATLANTA GA)

MN

04/22/2003 - 10/13/2005

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

MN

04/22/2003 - 10/13/2005

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 05/20/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/01/2007

Series 31 - Futures Managed Funds Examination

BC

Issued 04/21/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Louis Alan Gary. Review regulatory record here.
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