William
Baxter

Dempsey Lord Smith, LLC

CRD#15334
Investment Advisor
in Atlanta, GA
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About this Advisor

William Baxter is a certified financial planner who works in Atlanta, Georgia. Currently a registered financial advisor at Dempsey Lord Smith, LLC, they have accumulated an impressive 37 years of practice as an investment advisor. Baxter maintains Series 63 and Series 66 licenses, which designate the advisor as a securities representative. Baxter is able to work with customers in Georgia. Their career trajectory has included roles at William Baxter & Associates, Inc, Jefferson Pilot Financial, Jefferson Pilot Securities Corporation, Resource Horizons Group LLC, Kovack Securities Inc and Dempsey Lord Smith, LLC. Dempsey Lord Smith, LLC is headquartered in Atlanta, Georgia, and operates out of 34 other locations throughout the United States. In total, Dempsey Lord Smith, LLC manages $154 million in assets throughout 992 accounts and employs more than 86 people. The level of assets currently under the firm's management places it among the mid-sized firms in the country. All of the firm's accounts are managed on a discretionary basis, meaning the advisor makes investment decisions at their discretion. None of the investment firm's 992 clients are regarded as high-net-worth individuals, who are defined as investors who have more than $1 million in capital. Dempsey Lord Smith, LLC provides financial planning services, portfolio management for individuals and small businesses, pension consulting services and selection of other advisers. The firm may charge clients asset-based, hourly and fixed fees.

Certifications and Registrations

Series 63, Series 66, Certified Financial Planner

Years of Experience

37 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Disclosures

No

Office Location

6065 Roswell Road Suite 580
Atlanta, GA 30328

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Dempsey Lord Smith, LLC Brokerage Details

Total Assets Under Management

$169,812,682

GA Average: $3,570,121,308
Total Number of Employees

86

GA Average: 58
Total Number of Accounts

899

GA Average: 1,608
Average Account Size

$188,891

GA Average: $2,220,225

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers

William Baxter Work History

William has 37 years of experience.

2014 - 2014 (0 years)

Kovack Securities Inc

2014 - Present (5 years)

Dempsey Lord Smith, LLC

2008 - 2014 (6 years)

Resource Horizons Group LLC

2000 - Present (19 years)

Jefferson Pilot Financial

2000 - Present (19 years)

Jefferson Pilot Securities Corporation

1981 - Present (38 years)

William Baxter & Associates, Inc

Disclosures

William Baxter has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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