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Warren Isiah Harriday

Dempsey Lord Smith, LLC

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About Warren Isiah Harriday

Warren Harriday is a registered representative with Dempsey Lord Smith, LLC. Warren has been in the financial industry since 1996 and has experience working with individuals and small businesses. Warren holds the Series 6, Series 63, and SIE licenses. Warren has previously worked with Woodstock Financial Group, Inc., HORNOR, TOWNSEND & KENT, INC., RESOURCE HORIZONS GROUP LLC, DUNWOODY BROKERAGE SERVICES, INC., and AMERITAS INVESTMENT CORP.

Firm Information

Warren Harriday 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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Warren Harriday’s Registration & Firm History

GA

08/08/2016 - Present

Dempsey Lord Smith, LLC (ROME GA)

FL

05/02/2012 - 08/05/2016

PEAK BROKERAGE SERVICES, LLC (JUPITER FL)

GA

12/05/2007 - 05/23/2012

WOODSTOCK FINANCIAL GROUP, INC. (STONE MOUNTAIN GA)

GA

01/03/2006 - 12/11/2007

HORNOR, TOWNSEND & KENT, INC. (ATLANTA GA)

GA

09/15/2005 - 01/12/2006

RESOURCE HORIZONS GROUP LLC (MARIETTA GA)

GA

06/06/2003 - 09/16/2005

DUNWOODY BROKERAGE SERVICES, INC. (ATLANTA GA)

NE

05/26/1999 - 06/12/2003

AMERITAS INVESTMENT CORP. (LINCOLN NE)

DE

10/18/1996 - 05/21/1999

1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)

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Licenses & Designations

BC

Issued 09/13/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Warren Isiah Harriday. Review regulatory record here.
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