Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Stuart Finnie is a financial advisor at Dempsey Lord Smith, LLC. William has been a registered representative for over 20 years and has experience in both securities and investment advisory services. William specializes in providing financial planning services, pension consulting, and portfolio management for individuals. Dempsey Lord Smith, LLC is a registered investment advisor headquartered in Rome, Georgia. The firm provides a variety of financial services, including investment management, financial planning, and retirement planning. William has worked at Dempsey Lord Smith, LLC since 2014.
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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GA
10/30/2014 - Present
Dempsey Lord Smith, LLC (SUWANEE GA)
GA
10/15/2014 - 10/29/2014
KOVACK SECURITIES INC. (ATLANTA GA)
GA
02/06/2008 - 10/15/2014
RESOURCE HORIZONS GROUP LLC (ATLANTA GA)
GA
08/09/2002 - 02/29/2008
JEFFERSON PILOT SECURITIES CORPORATION (ATLANTA GA)
NE
04/18/2001 - 07/10/2002
AMERITAS INVESTMENT CORP. (LINCOLN NE)
IA
Issued 01/29/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2003
Series 7 - General Securities Representative Examination
BC
Issued 04/17/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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