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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Dempsey is a financial advisor in Austin, Texas, with over 23 years of experience. Heather Dempsey has been a registered representative with UBS Financial Services Inc. since 2011 and previously worked with Merrill Lynch and Northwestern Mutual Investment Services, LLC. Heather Dempsey has earned the Series 63, 65, 7, 10, 9 and 31 securities licenses. Heather Dempsey specializes in helping individuals, corporations, high-net-worth individuals, charitable organizations, pension and profit-sharing plans, and insurance companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TX
04/11/2023 - Present
UBS Financial Services Inc. (AUSTIN TX)
TX
04/29/2011 - 03/06/2023
UBS FINANCIAL SERVICES INC. (AUSTIN TX)
TX
05/01/2009 - 05/02/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
08/10/2007 - 05/21/2009
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
TX
12/15/2003 - 07/31/2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (HOUSTON TX)
TX
06/17/2002 - 12/02/2003
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
05/01/2000 - 05/22/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 09/13/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/09/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/16/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/14/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 04/28/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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