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

Cathy works as an accountant at Tim Couch PC CPA, dedicating about a quarter of her time to preparing tax returns and administrative duties. She also serves as Treasurer for the Old Dawson Village Condominium Association, spending minimal time paying bills and running reports.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
November 2025 - Present · 3 mos
Cambridge Investment Research, INC.Broker
November 2025 - Present · 3 mos
Dempsey Lord Smith, LLC
August 2017 - Present · 8 yrs 6 mos
Previous Registrations
Dempsey Lord Smith, LLCBroker
August 2017 - November 2025 · 8 yrs 3 mos
Wfg Advisors, LP
March 2010 - August 2017 · 7 yrs 5 mos
Wfg Investments, INC.Broker
August 2008 - August 2017 · 9 yrs
Triad Advisors, INC.Broker
January 2008 - July 2008 · 6 mos
State Registrations1 state
GA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.