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Barry Dow: 6-Figure Complaint Against Dempsey Advisor

A recent investor complaint against Rome, Georgia financial advisor Barry Dow (CRD# 4827935) alleges that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Dempsey Lord Smith.

Mr. Dow’s BrokerCheck report discloses one investor complaint. Filed in October 2023, it alleges that as a representative of Dempsey Lord Smith, he failed to conduct reasonable due diligence and recommended an unsuitable high-risk investment. The pending complaint alleges damages of $100,001.

Dempsey Lord Smith’s website describes it as an independently owned and operated firm that offers wealth management, retirement planning, and other services. “As a Registered Investment Advisor we are dedicated to offering you objective financial advice, access to a wide array of investment products, and the highest levels of personal service,” it states. “With more than 100 years of combined experience in financial planning, our management team utilizes sophisticated portfolio modeling technologies to help you reach your financial goals.”

According to the Financial Industry Regulatory Authority, Barry Dow holds 18 years of securities industry experience. Based in Rome, Georgia, he has been a broker and an investment advisor with Dempsey Lord Smith since 2016 and 2017, respectively. His past registrations include Retirement Cash Flow Group (Alpharetta, Georgia; 2019-2020), Roger’s Retirement Readiness Alliance (Alpharetta, Georgia; 2018), Sequence Financial Specialists (Charleston, South Carolina; 2016-2017), Anthem Securities (Pittsburgh, Pennsylvania; 2008-2016), and Wells Investment Services (Norcross, Georgia; 2004-2007). His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arkansas, California, Colorado, Connecticut, Georgia, Maryland, Minnesota, New York, North Carolina, Ohio, Pennsylvania, South Carolina, South Dakota, and Texas. (Information current as of January 30, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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