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Michael Falk

Dempsey Lord Smith, LLC

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About Michael Falk

Michael Falk is a financial advisor who has been in the industry since 2005. Michael is currently registered with Dempsey Lord Smith, LLC and is also registered with the state of Georgia as an investment advisor representative. Michael has previously been employed with KOVACK SECURITIES INC. and RESOURCE HORIZONS GROUP LLC. Michael has passed the Series 6, Series 63 and Series 65 exams. Michael offers financial planning, pension consulting, and portfolio management for individuals.

Firm Information

Michael Falk 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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Michael Falk’s Registration & Firm History

GA

05/22/2015 - Present

Dempsey Lord Smith, LLC (LAWRENCEVILLE GA)

GA

10/15/2014 - 04/29/2015

KOVACK SECURITIES INC. (Lawrenceville GA)

GA

03/26/2013 - 10/15/2014

RESOURCE HORIZONS GROUP LLC (MARIETTA GA)

GA

10/07/2005 - 04/05/2013

INVESTORS CAPITAL CORP. (WATKINSVILLE GA)

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Licenses & Designations

IA

Issued 09/22/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/18/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael Falk. Review regulatory record here.
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