DS
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Douglas Carroll Shows

23 Years of Experience
Broker
Areas of Practice
Retirement PlanningDivorce PlanningEstate PlanningEducation PlanningFinancial Planning & CoachingInvestment Management
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
3842 advisors
Number of Clients
323,031 clients
Average Client Portfolio
$317K average
Assets Under Management
$102.4B

Fee Structure

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Location

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

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Douglas is a college basketball official, refereeing games and instructing at camps, dedicating about a quarter of his time. He also participates in church finances, real estate investment, Advantage Business Brokers, Second Avenue Group, and Hydrate IV Infusion, spending minimal time on each.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
November 2025 - Present · 3 mos
Cambridge Investment Research, INC.Broker
November 2025 - Present · 3 mos
Cambridge Investment Research, INC.
November 2025 - Present · 3 mos
Dempsey Lord Smith, LLC
September 2018 - Present · 7 yrs 5 mos
Previous Registrations
Dempsey Lord Smith, LLCBroker
August 2018 - November 2025 · 7 yrs 3 mos
Investment Advisors
June 2011 - September 2018 · 7 yrs 3 mos
Proequities, INC.Broker
June 2011 - September 2018 · 7 yrs 3 mos
Park Avenue Securities LLC
November 2006 - September 2010 · 3 yrs 10 mos
Park Avenue Securities LLCBroker
November 2006 - September 2010 · 3 yrs 10 mos
Park Avenue Securities LLC
June 2006 - November 2006 · 5 mos
Peachtree Planning Advisors, INC.
December 2005 - December 2007 · 2 yrs
Park Avenue Securities LLCBroker
April 2001 - November 2006 · 5 yrs 7 mos
State Registrations1 state
GA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.