Traditional Independent Representative

If you have already established yourself as an independent contractor or wish to become an independent, DLS can provide you with full access to comprehensive suite of products, advanced technology and marketing support.  You retain the freedom of selecting and maintaining your own office, managing your office, controlling all business expenses and running your own separate and distinct business  •  1099 status  •  financial advisor  •   controls business strategies  •  own your book  •  full technology platform available on ala carte basis.

Investment Advisory Firm  

Financial professional (or firm) that manages client assets for a fee  •  With or without the need for additional investment options in a traditional commission environment  •  DLS offers you the option of using their RIA platform or your own RIA.  We offer clearing and custody services through National Financial Services, a variety of fee-based options; fee billing administrative system, comprehensive platform, a variety of annuity products (requires licensing).  Access to a full menu of commission based products.

Dempsey Lord Smith offers full back office assistance in transition process, from changing registration to transfer of accounts.

*** For more information, contact John Lord @ 706-625-9756 or Ernest Smith @ 706-238-9575 or email info@dempseyi.com.  All inquiries will be kept confidential. ***