Barbara Jean Borowsky

Dempsey Lord Smith, LLC

29 Years of Experience

4 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementHigh Net Worth

Dempsey Lord Smith, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

59 advisors

Number of Clients

2,731 clients

Average Client Portfolio

$213K average

Assets Under Management

$580.5M

Fee Structure

Minimum Investment:$10K

Financial Planning:Investment management only

Location

901 N Broad Street, Suite 400, Rome, GA, 30161

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History

Regulatory History (4)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

December 2023

Pending

Customer Dispute

September 2022

Settled

Customer Dispute

August 2009

Denied

Customer Dispute

February 2009

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Barbara is an independent insurance agent selling life and disability insurance since 1997. This takes about a full-time commitment.

Employment History

Current Registrations

Dempsey Lord Smith, LLC

September 2017 - Present · 8 yrs 5 mos

Dempsey Lord Smith, LLC

October 2016 - Present · 9 yrs 4 mos

Dempsey Lord Smith, LLCBroker

October 2016 - Present · 9 yrs 4 mos

Previous Registrations

Retirement Cash Flow Group, LLC

April 2019 - December 2020 · 1 yr 8 mos

Roger's Retirement Readiness Alliance LLC

November 2016 - December 2018 · 2 yrs 1 mo

Coastal Equities, INC.Broker

August 2016 - October 2016 · 2 mos

J P Turner & Company Capital Management, LLC

May 2009 - November 2015 · 6 yrs 6 mos

J.P. Turner & Company, L.L.C.Broker

May 2009 - November 2015 · 6 yrs 6 mos

Suntrust Investment Services, INC.

April 2004 - December 2008 · 4 yrs 8 mos

Suntrust Investment Services, INC.Broker

September 2003 - December 2008 · 5 yrs 3 mos

Wachovia Securities, LLC

April 2003 - September 2003 · 5 mos

Wachovia Securities, LLCBroker

October 2000 - September 2003 · 2 yrs 11 mos

First Union Brokerage Services, INC.Broker

July 2000 - October 2000 · 3 mos

Wachovia Securities, INC.Broker

February 2000 - June 2000 · 4 mos

Wachovia Brokerage ServiceBroker

December 1994 - February 2000 · 5 yrs 2 mos

State Registrations23 states

ALARCACOCTFLGAILKYLAMDMIMNMONCNYOHPASCSDTNTXVA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.