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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

LOUIS ALAN GARY

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Rome, GA | Tucker, GA

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Search this name across graphsid dfx:ria:223976aa-5315-e451-0b9d-220a8fb03d29

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jun 16, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 20, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 20, 2002
First registration: Jun 16, 2003
Dual registered: yes, broker-dealer
Other names: LOUIS ALAN GARY
IAPD individual key: 4502318

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Nov 25, 2025	n/a	yes	Rome, GA\|Tucker, GA	Current employment
DEMPSEY LORD SMITH, LLC	Former SEC adviser	Jan 8, 2026	Apr 3, 2026	no	ROME, GA\|ROME, GA	Previous registration
DEMPSEY LORD SMITH, LLC	Former SEC adviser	Dec 14, 2016	Dec 31, 2025	no	TUCKER, GA\|ROME, GA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 12, 2008	Sep 30, 2016	no	Atlanta, GA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	May 23, 2007	May 5, 2008	no	ATLANTA, GA	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Oct 19, 2005	Mar 22, 2007	no	ATLANTA, GA\|ATLANTA, GA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 16, 2003	Oct 13, 2005	no	ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
DEMPSEY LORD SMITH, LLC	n/a	Apr 3, 2026	n/a	n/a	Departure no registered destination	Departure
DEMPSEY LORD SMITH, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Dec 31, 2025	Nov 25, 2025	-36	Bulk transfer	RIA to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	DEMPSEY LORD SMITH, LLC	Sep 30, 2016	Dec 14, 2016	75	Firm change	Other
MORGAN STANLEY & CO. LLC	AMERIPRISE FINANCIAL SERVICES, LLC	May 5, 2008	Sep 12, 2008	130	Firm change	Other
COMMONWEALTH FINANCIAL NETWORK	MORGAN STANLEY & CO. LLC	Mar 22, 2007	May 23, 2007	62	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	COMMONWEALTH FINANCIAL NETWORK	Oct 13, 2005	Oct 19, 2005	6	Firm change	Ibd to ibd

Relationships

Registered with (5)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Nov 25, 2025 to presentfactForm ADV
→ DEMPSEY LORD SMITH, LLCRegistered adviserregistration: previous registration
Jan 8, 2026 to Apr 3, 2026factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 12, 2008 to Sep 30, 2016factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
May 23, 2007 to May 5, 2008factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Oct 19, 2005 to Mar 22, 2007factForm ADV

Dated events

Occurred
Apr 3, 2026
Advisor departed, no destination yet
Louis Alan Gary no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
Form ADVobserved 6 days ago