Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dempsey is a financial advisor with J.P. MORGAN SECURITIES LLC in Cincinnati, Ohio. James has been in the financial services industry since 1994. Prior to joining J.P. MORGAN SECURITIES LLC, James worked at Chase Investment Services Corp., The Huntington Investment Company, BANC ONE SECURITIES CORPORATION, UBS PAINEWEBBER INC., R. H. YORK & COMPANY, INC., A. G. EDWARDS & SONS, INC. and Edward D. Jones & Co., L.P. James is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). James has also passed the Uniform Investment Adviser Law Examination (Series 65) and the Uniform Securities Agent State Law Examination (Series 63).
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
OH
09/20/2013 - Present
J.p. Morgan Securities LLC (Cincinnati OH)
OH
01/24/2006 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (CINCINNATI OH)
OH
05/13/2004 - 01/11/2006
THE HUNTINGTON INVESTMENT COMPANY (CINCINNATI OH)
IL
05/20/2003 - 04/26/2004
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NJ
08/07/1998 - 12/17/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
KY
03/05/1998 - 08/07/1998
R. H. YORK & COMPANY, INC. (COVINGTON KY)
MO
08/11/1997 - 01/12/1998
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
MO
12/08/1995 - 08/05/1997
EDWARD D. JONES & CO., L.P. (ST. LOUIS MO)
RI
10/29/1993 - 11/15/1995
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
IA
Issued 10/9/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/9/1996
Series 7 - General Securities Representative Examination
BC
Issued 10/28/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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