Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames G Dempsey is a financial advisor with over 20 years of experience in the industry. James has held registrations with multiple firms, including Alliance Fund Distributors, Inc., Smith Barney Shearson Inc., Lehman Brothers Inc., and Advest, Inc. James is currently registered with J.p. Morgan Securities LLC and J.p. Morgan Private Wealth Advisors LLC. James is also a Registered Representative with FINRA and holds Series 7, 7TO, SIE, 63, and 65 licenses. James offers a range of services including financial planning, portfolio management, pension consulting, and selection of other advisers.
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
NY
01/09/2024 - Present
J.p. Morgan Securities LLC (WHITE PLAINS NY)
TN
04/29/1994 - 04/08/1997
ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)
NY
07/31/1993 - 08/30/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
07/29/1987 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/30/1983 - 08/04/1987
ADVEST, INC.
NA
08/15/1983 - 11/17/1983
VANTAGE SECURITIES OF COLORADO, INC.
NA
05/25/1983 - 08/11/1983
SHEARSON/AMERICAN EXPRESS INC.
BC
Issued 03/20/2024
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/15/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/20/2024
Series 7TO - General Securities Representative Examination
BC
Issued 11/27/2023
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX 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
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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
Not sure James Dempsey is the right advisor for you? Invested Better is here to help.
