Full text of DEMPSEY LORD SMITH, LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). 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** | OMU Nurnber 3235-0123 | | |----------------------------|--| | hpir~ Nov 10. 2026 | | | (~t,matcd average llurclcn | | | hours p~r re~pon,e. I: | | ## sec rtL[ NUMBfR 8-67469 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and lBa-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 0 1/01 /23 <sup>A</sup> ND ENDING 12/31 /23 MM/ DD/VY A. REGISTRANT IDENTIFICATION MM/DD/VY NAME oF FIRM: Dempsey Lord Smith, LLC TYPE OF REGISTRANT (c heck all applicable boxes): <sup>~</sup>Broker-dealer '7 Security-based sw ap de aler n Majo r security- based swap participant - ChC>r k here 1f ,espondent ,., also dn OTC derivauves dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do no t use a P.O. box no.) ## 901 North Broad Street, Suite 400 | | (No and Street) | | |--------|-----------------|------------| | Rome | GA | 30161 | | (City) | (State) | (Z,p Code) | PERSON TO CONTACT W ITH REGARD TO THIS FILING | Jerry E. Dempsey | (706) 238 -<br>9575 | Jerry .dempsey@dempsey.com | | |------------------|--------------------------------|----------------------------|--| | (Name) | (Area Code - Telephone Number) | (Ema,I Address) | | #### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PU BLIC ACCOU NTANT whose reports are co ntained in this fil ing .. ### RUBIO CPA, PC (Name - 1f 1nd1v1dual, state last. first. and middle name) | 3500 Lenox Rd., Suite 1500 Atlanta | | GA | 30326 | |------------------------------------|------------------------------------------------------------------------------------------------------------------|-------------------------|-----------------------------| | (/\dd1 css) | (City) | | (Z p Code) | | 05/05/09 | | 3514 | | | | | | | | | (DIL •_te_o_f_R-eg-1s-t-ra-11-on_,_v,-th_P_C_A_O_B_)(1-f a- p-p-ltc_a_ole_ -) _F_O_R_ O_F_F-IC-IAL U SE_O_ N_L_Y | --<br>(-PC_A_O_B_'"""'" | °" ,.,moo,, '' "'"'"'"'•l I | • Claim~ for exemption from the rp1uiremen1 that the ann11al reports be covered by the repo1 ts of ,in independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exempuon See 17 CFR 240.17a S(e)(l)(1i), 11 applicable Persons who are to respond to the collection of information contained in this form are not required to respond unless the form d…Read the full text as markdown