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 professional with over 30 years of experience in the industry. James is currently registered with Cuso Financial Services, LP and Sorrento Pacific Financial, LLC. James is a registered representative and investment advisor representative with both firms. James has a comprehensive understanding of the financial markets and a proven track record of success in helping clients achieve their financial goals. James holds several industry certifications including the Series 3, 4, 7, 24, 27, 53, 63, 65 and 66. James is passionate about providing personalized financial advice and guidance to individuals, families, and businesses. James is committed to helping clients make informed decisions about their financial future.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
01/07/2014 - Present
Cuso Financial Services, LP (SAN DIEGO CA)
CA
05/06/2013 - 01/10/2014
FSC SECURITIES CORPORATION (SAN DIEGO CA)
CA
10/04/2004 - 05/31/2011
LPL FINANCIAL LLC (SAN DIEGO CA)
CA
10/19/2000 - 04/25/2001
SCUDDER WEISEL CAPITAL, LLC (SAN FRANCISCO CA)
NY
10/11/1999 - 09/15/2000
WALL STREET ACCESS (NEW YORK NY)
NY
10/15/1996 - 07/30/1999
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
NA
04/27/1995 - 10/10/1996
INTERNATIONAL CREDIT BROKERAGE CO., INC.
NY
01/04/1991 - 06/27/1994
BULL & BEAR SECURITIES, INC. (NEW YORK NY)
NA
11/20/1989 - 01/14/1991
L. F. ROTHSCHILD & CO. INCORPORATED
NY
09/21/1989 - 11/28/1989
QUICK & REILLY, INC. (NEW YORK NY)
NY
08/12/1986 - 10/04/1989
MARINE MIDLAND SECURITIES, INC. (NEW YORK NY)
NA
11/19/1985 - 09/17/1986
PRUDENTIAL-BACHE SECURITIES INC.
BOTH
Issued 09/13/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/10/2012
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/05/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/24/1991
Series 27 - Financial and Operations Principal Examination
BC
Issued 02/13/1990
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/16/1987
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1995
Series 3 - National Commodity Futures Examination
BC
Issued 11/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Dempsey is the right advisor for you? Invested Better is here to help.
