Securities Offered Through Dempsey Lord Smith, LLC
Advisory Services offered through Dempsey Lord Smith, LLC
Duvan L. Brock is securities licensed in the states of AL, FL, GA, KY, LA, NC, OH, SC, TN, TX, and VA.
Duvan L. Brock is insurance licensed in the states of AL, FL, GA, TN, and VA.
Duvan Brock Financial Services, LLC.'s web site is limited to the general information pertaining to its investment advisory services. Nothing on this web site should be construed as a solicitation of offer, or recommendation, to acquire or dispose of any investment or to engage in any other financial transaction. Accordingly, Duvan Brock Financial Services, LLC. does not render or offer to render personalized investment advice for compensation, on this web site. Advice may only be rendered after the delivery of Form ADV Part II and the execution of an investment advisory agreement by the client and advisor.
The information in this web site is based on data gathered from what Duvan Brock Financial Services, LLC. believes are reliable sources. It is not guaranteed as to its accuracy, does not claim to be complete and is not intended in any way to be the primary basis for any investment decision. It should also not be construed as advice meeting the particular investment needs of any investor. The information and opinions contained in this web site are provided by Duvan Brock Financial Services, LLC. for personal use and informational purposes only and are subject to change without notice. Nothing contained on the Duvan Brock Financial Services, LLC.'s web site constitutes investment, financial, legal, tax or other advice nor is it to be relied on in making an investment or other decision.
Some of the information on this site is provided through linked web sites. Links on the Duvan Brock Financial Services, LLC.'s web site are for informational purposes only. Duvan Brock Financial Services, LLC. does not endorse the content nor the products of these linked web sites.
Some of the material in Duvan Brock Financial Services, LLC.'s web site is password protected. This area is restricted to authorized users only. The user in these password protected areas is responsible for any use of the password and for maintaining its confidentiality.
Some of the information on this web site is provided for you to download or print copies, provided that you do not remove any logos or other proprietary notices. You may not reproduce, transmit, modify, link, or use for any public or commercial purpose information on the Duvan Brock Financial Services, LLC. web site without the prior written permission of Duvan Brock Financial Services, LLC.
Privacy Notice: Protecting your Privacy and Security
At Duvan Brock Financial Services, LLC., Your privacy is our priority.
We collect personal information to open your account(s), to process your transactions and to help us provide a better level of service. We do not sell your personal information to anyone. We protect the security and confidentiality of the personal information we collect.
Our relationship with you is our most important asset. We understand that you have entrusted us with you private financial information, and we do everything we can to maintain that trust. The following are details of our approach to privacy.
We do not sell your personal information to anyone. We do not disclose personal information to third parties, unless one of the following limited exceptions applies.
- We disclose personal information, such as account and transaction data, to companies, including financial institutions that contract with us to manage portfolios, execute transactions, or act in a custodial capacity, etc. We have contracts with these companies that prohibit them from using your personal information for their own purposes.
- We may disclose personal information to companies that help us process or service your transactions of account(s), including companies that print and mail you account statements.
- We may disclose or report personal information, in limited circumstances namely when a good faith disclosure is required by law. (For example: to cooperate with regulators or law enforcement authorities, resolve consumer disputes, perform credit/authentication checks, or for institutional risk control).
Outside of these exceptions, we will not share your personal information with third parties unless you have specifically asked us to do so.
We do collect personal information in the normal course of business in order to administer your accounts and serve you better.
- Application and registration information. We collect information that you provide to us when you open an account, make application to or through Duvan Brock Financial Services, LLC. for the purchase of a securities product or service, or register for one or more of our services such as financial analysis or seminars. The information we collect may include name, address, phone number, e-mail address, Social Security Number, financial information, and information about your investment desires and experience. We also may collect information from consumer reporting agencies.
- Transaction Information. Once you have an account with us, to administer your account and better serve you, we collect and maintain personal information about your transaction, including balances, positions, and history, and may include your name or other data in an internal client list reflective of your activities at Duvan Brock Financial Services, LLC., and with outside contracted providers.
We use your personal information to fulfill our regulatory obligation and to help us deliver the best possible service to you.
- Duvan Brock Financial Services, LLC. is required by its various regulatory authorities such as the U.S. Securities Exchange Commission (SEC). Financial Industry Regulatory Authority (FINRA), and state jurisdictions to collect, review, and maintain certain personal information such as investment history, financial data, employment history, etc. in order to fulfill various regulatory requirements.
We protect the confidentially and security of your personal information.
- Companies we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested.
- We restrict access to personal information to select employees and agents who have a need for such information for business purposes only. All such employees are trained and required to safeguard such information.
- We maintain physical, electronic, and procedural safeguards to guard your personal information.
We continue to evaluate our efforts to protect personal information and make every effort to keep your personal information accurate and up-to-date.
- If you identify any inaccuracy in your personal information, or you need to make a change to that information, please contact us so that we may promptly update our records and better serve you.
We will provide notice of changes in our information-sharing practices.
- If at any time in the future, it is necessary to disclose any of your personal information in a way that is inconsistent with this policy, we will give you advance notice of the proposed change so that you will have the opportunity to opt out of such disclosure.
If you have any questions or concerns, please contact us by email at firstname.lastname@example.org, or call us at: (706) 625-9336.
Business Continuity Plan Disclosure Statement
Dempsey Lord Smith, LLC (“DLS” or the “Firm”) has developed a Business Continuity Plan “BCP” to respond to significant business disruptions “SBD” of varying degrees, and this document explains our processes and procedures to recover from these disruptions. By their very nature, SBDs are unpredictable, vary in the degree of severity, and are in most cases not under the control of DBFS or DLS. Each firm is a fully-disclosed broker or introducing broker/dealer who clears, executes, settles its trades, and holds custody of client funds through our clearing firm National Financial Services, LLC, and therefore we rely heavily on their ability to respond to these business disruptions. DLS may also rely on other entities such as insurance companies, mutual fund companies, telecommunication companies, power companies, etc. to operate our Firm’s business. In the event of an SBD, DLS will work with these vendors to ensure the quickest possible recovery of our operations depending on the severity of the disruption. However, if our either firm is unable to recover from a SBD, our clearing firm will be able to provide our clients with access to their funds and securities by contacting National Financial Services, LLC at 617.563.5977 or by their web site www.nationalfinancial.com.
Our business continuity plans include provisions for events that affect either firm specifically, such as a fire in our building(s), or events that affect the entire region, such as severe weather, power outages, etc., or events that affect the markets as a whole such as political crisis, terrorist attacks, etc. Both Firms have procedures to back-up critical data electronically, store these back-ups at an alternate location in case our offices are affected by a SBD, and provide alternate office locations in case our offices cannot be accessed. Our clearing firm National Financial Services, LLC also has a business continuity plan that addresses these possible disruptions, including data back-up at separate geographic locations, alternate communication sites, alternate physical locations available for use, etc., and these plans are reviewed, and tested regularly to insure clients will have access to funds and securities with minimal delays. Our overriding goal is to provide our clients with least amount of disruption as possible, and any delays that are not affecting the markets’ ability to trade as a whole should be less than a day according to National Financial Services, LLC’s BCP.
In case of an SBD that affects any of the firm’s operations, these are the following ways that clients may try to contact our firm:
- By Telephone Rome - 706.238.9575 Calhoun - 706.625.9756 or 706.625.9336
- By Fax Rome - 706.238.9578 Calhoun - 706.625.9881 or 706.625.4121
- By Email Service@dempseyi.com
- Online www.dempseylordsmithllc.com or www.duvanbrock.com
- In Person Rome, GA 901 N Broad Street Suite 400
- In Person Calhoun, GA 320 S Piedmont St
- In Person Calhoun, GA 276 Curtis Parkway, NE
National Financial Services, LLC Contact Information
In case of an SBD that affects our firm’s operations, and our clients are unable to contact Dempsey Lord Smith, LLC:
Dempsey Lord Smith, LLC’s BCP document can be obtained by request at the following address:
Dempsey Lord Smith, LLC
c/o Business Continuity Plan
901 N Broad Street Suite 400
Rome, GA 30161