Duvan
Brock
Dempsey Lord Smith, LLC
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About this Advisor
Duvan Brock is a certified financial planner and chartered financial consultant based in Calhoun, Georgia who has 14 years of industry experience. Brock is an advisor for Dempsey Lord Smith, LLC. Their career trajectory has included roles at Dempsey Lord Smith, LLC and Brock Financial Services Inc. Brock maintains a Series 63 license, which qualifies them as a securities broker, and is registered to serve investors in Georgia. Dempsey Lord Smith, LLC is a firm that has its headquarters in Rome, GA. The firm has offices in 60 locations and a total of 101 people on staff. It manages $502 million in assets across its 2,945 client accounts, making it one of the larger investment advisory firms in the nation by assets under management. Of its 2,945 accounts, just 10% belong to high-net-worth clients who have more than $1 million in assets. The firm performs a wide range of services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services and selection of other advisers. Financial management fee schedules usually vary depending on which services the firm provides the client. Fees charged by Dempsey Lord Smith, LLC can be comprised of any combination of asset-based, hourly and fixed fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Dempsey Lord Smith, LLC Brokerage Details
$502,000,000
101
2,945
$170,458
Investment Advisory Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers
Duvan Brock Work History
Duvan has been registered as a financial advisor for 14 years.*
Dempsey Lord Smith, LLC
Brock Financial Services Inc
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of Duvan Brock to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
Financial Advisors at Dempsey Lord Smith, LLC
Rome, GA
Greenville, SC
Savannah, GA
Dawsonville, GA
Rome, GA
Rome, GA
Rome, GA
Rome, GA
The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
