Full text of DEMPSEY LORD SMITH, LLC's X-17A-5 filed 2022-03-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31 , 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER **8** - **67469** **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 Fl LING FOR THE PERIOD BEGIN NIN **G \_\_\_ -=0=1"-/0=1=/-=2=1 \_\_ A** ND ENDING **- ---=1=-=2:L../=31=/-=2:..:1 \_\_** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: **Dempsey Lord Smith, LLC** TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer □ Major security-based swa p participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 901 North Broad Street, Suite 400 | | | |-----------------------------------|--|--| |-----------------------------------|--|--| | | (No. and Street) | | | |------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------|----------------------------|---------------------------------------------| | Rome | GA | | 30161 | | (City) | {State) | | {Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Jerry E. Dempsey | (706) 238-9575 | jerry.dempsey@dempseyi.com | | | {Name) | {Area Code - Telephone Number) | {Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | Rubio CPA, PC<br>2727 Paces Ferry Rd SE, STE 2-1680 | {Name - if individual, state last, first, and middle name)<br>Atlanta | | | | {Address) | {City) | Georgia<br>(State) | 30339<br>(Zip Code) | | 05/05/2009 | | 3514 | | | (re of Regimatioo with PCAOB)(if applicable( | | | (PCAOB Regimatioo Nombec, if a pplicabl,j I | | | FOR OFFICIAL USE ONLY | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e){l){ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ ####…Read the full text as markdown