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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

DOUGLAS CARROLL SHOWS

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Rome, GA

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Search this name across graphsid dfx:ria:98044ed7-31c1-ff89-b6f1-08d45f733c4e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 14, 2005 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 14, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom 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: S65|S63
First exam: May 14, 2001
First registration: Dec 14, 2005
Dual registered: yes, broker-dealer
Other names: DOUGLAS C SHOWS
IAPD individual key: 4327643

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\|Rome, GA	Current employment
DEMPSEY LORD SMITH, LLC	Former SEC adviser	Jan 6, 2026	Apr 3, 2026	no	ROME, GA\|ROME, GA	Previous registration
DEMPSEY LORD SMITH, LLC	Former SEC adviser	Sep 18, 2018	Dec 31, 2025	no	ROME, GA\|ROME, GA\|ROME, GA\|ROME, GA\|ROME, GA	Previous registration
CONCOURSE FINANCIAL GROUP ADVISORS	Former SEC adviser	Jun 17, 2011	Sep 17, 2018	no	ROME, GA\|BIRMINGHAM, AL\|ROME, GA	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Nov 30, 2006	Sep 28, 2010	no	ROME, GA	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Jun 26, 2006	Nov 8, 2006	no	ROME, GA\|ROME, GA	Previous registration
PEACHTREE PLANNING ADVISORS, INC.	n/a	Dec 14, 2005	Dec 7, 2007	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
CONCOURSE FINANCIAL GROUP ADVISORS	DEMPSEY LORD SMITH, LLC	Sep 17, 2018	Sep 18, 2018	1	Firm change	Ibd to RIA
PARK AVENUE SECURITIES LLC	CONCOURSE FINANCIAL GROUP ADVISORS	Sep 28, 2010	Jun 17, 2011	262	Firm change	Other
PEACHTREE PLANNING ADVISORS, INC.	PARK AVENUE SECURITIES LLC	Dec 7, 2007	Jun 26, 2006	-529	Firm change after gap	Other

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 6, 2026 to Apr 3, 2026factForm ADV
→ CONCOURSE FINANCIAL GROUP ADVISORSRegistered adviserregistration: previous registration
Jun 17, 2011 to Sep 17, 2018factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Nov 30, 2006 to Sep 28, 2010factForm ADV
→ PEACHTREE PLANNING ADVISORS, INC.Registered adviserregistration: previous registration
Dec 14, 2005 to Dec 7, 2007factForm ADV

Dated events

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