Full text of DEMPSEY LORD SMITH, LLC's X-17A-5 filed 2025-04-01 (period 2024-12-31). 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-S** | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | | | | SEC FILE NUMBER 8-67469 # **PART Ill** **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **0 1/01 /24** MM/ DD/YY AND ENDING 12131124 MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Dempsey Lord Smith, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer O Security-based swap dealer D Major security-based swap participant ::J 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 -<br>9575 | jerry .dempsey@dem psey. com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this fi ling\* ## 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 | | 3514 | | | T"<br>ofRegl~,atkm with PCAOBII• appllcabl•I | | | IPCAOB Regl>UaUoo N,mbe<, If applicable I I | | | FOR OFFICIAL USE ONLY | | | • Claims for exemption from t he 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