William Finnie
William Finnie is a registered investment advisor at Dempsey Lord Smith, LLC, based in Rome, GA, with 24 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 2,731 clients with $580M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Dempsey Lord Smith offers several ways to manage your investments:
- Portfolio Management: DLS manages your investments directly, buying and selling securities as they see fit.
- Model Portfolio Management: DLS uses pre-built investment models (Growth & Income, Income, ETF/Mutual Fund) to manage your portfolio.
- Wealth Management Platform: DLS uses third-party asset managers through the Fidelity Managed Account Solutions Program or DLS's own wrap fee program.
- Advisor Referral Program: DLS refers you to a third-party asset manager.
The maximum annual fee for portfolio management is 2.50% (2.00% in Alabama). The specific fee is negotiable. DLS receives a portion of the fee collected by third-party asset managers.
Location
901 N Broad Street, Suite 400, Rome, GA, 30161
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
William is an agency specialist for life and fixed insurance sales and service through William Baxter & Associates and The Baxter Agency, dedicating full-time hours to these activities. He also participates in an employee benefit program called Proactive Health Management Plan for about 10-20% of his time.
Employment History
Current Registrations
Dempsey Lord Smith, LLC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Cambridge Investment Research, INC.
Previous Registrations
Dempsey Lord Smith, LLC
Dempsey Lord Smith, LLCBroker
Kovack Securities INC.Broker
Resource Horizons Investment Advisory, INC.
Resource Horizons Group LLCBroker
Jefferson Pilot Securities CorporationBroker
Ameritas Investment CORP.Broker
State Registrations21 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.