Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Douglas Norton is an investment advisor representative at Dempsey Lord Smith, LLC. Stephen has been in the industry since 1999. Stephen works in Kings Mountain, North Carolina and is registered with the state of North Carolina. Stephen's previous firms include KALOS CAPITAL, INC., CAPITAL GUARDIAN, LLC, TRIAD ADVISORS, INC., AIG FINANCIAL ADVISORS, INC., SUNAMERICA SECURITIES, INC., WOODBURY FINANCIAL SERVICES, INC., and A. G. EDWARDS & SONS, INC. Dempsey Lord Smith, LLC has offices in Kings Mountain, North Carolina and Rome, Georgia.
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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NC
07/22/2019 - Present
Dempsey Lord Smith, LLC (Kings Mountain NC)
NC
07/05/2016 - 07/22/2019
KALOS CAPITAL, INC. (Kings Mountain NC)
NC
06/16/2009 - 07/06/2016
CAPITAL GUARDIAN, LLC (KINGS MOUNTAIN NC)
NC
07/10/2006 - 06/09/2009
TRIAD ADVISORS, INC. (KINGS MOUNTAIN NC)
NC
10/31/2005 - 07/12/2006
AIG FINANCIAL ADVISORS, INC. (MATTHEWS NC)
AZ
08/18/2003 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
MN
03/17/2003 - 08/04/2003
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
MO
10/11/1999 - 02/13/2003
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 05/21/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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