Full text of DEMPSEY LORD SMITH, LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). 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 **FACING PAGE** **Info rmation Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 0 1/01 /22 | | | AND ENDING 12/31 f22 | | |--------------------------------------------|----------|--|----------------------|--| | | MM/DD/VY | | MM/DD/ YY | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME oF FIRM : Dempsey Lord Smith, LLC TYPE OF REGISTRANT (check all appl icable boxes): <sup>~</sup>Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Check here if respondent is also an OTC derivatives dea ler 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) | (Stare) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Jerry E. Dempsey | (706) 238 -<br>9575 | | jerry.dempsey@dempsey.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | RUBIO CPA, PC | (Name - if individual, state last, first, and middle name) | | | | 3500 Lenox Rd. | , Suite 1500 Atlanta | GA | 30326 | | (Address) | (City) | (State) | (Zip Code) | | 05/05/09 | | 351<br>4 | | | l"<br>of Reg,suaUoo with PCAOB)l;f applicablel | | | | 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 collect ion of information contained in this form are not required to respond unless the form displays a current ly val id 0MB control number. 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response : 12 | SEC FILE NUMBER | |-----------------| | 8-67469 | {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Jerry E Dempsey , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Dempsey Lord Smith, LLC as of December31 , 2~, is tr…Read the full text as markdown