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Joseph Matthew Dempsey

Regiment Securities, LLC

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About Joseph Matthew Dempsey

Joseph Dempsey is a financial advisor who has over 25 years of experience in the financial services industry. He is currently registered with Regiment Securities, LLC and is a Series 7, Series 24, Series 63, and Series 79TO licensed professional. Joseph has a strong track record of providing investment advice and financial planning services to clients. He is committed to helping his clients achieve their financial goals.

Firm Information

Joseph Dempsey is currently registered with Regiment Securities, LLC. Regiment Securities, LLC is a Limited Liability Company formed on September 21, 2020. The firm is registered with the SEC and in 31 states.

Not reported

Assets Under Management

Not reported

Total Clients

28

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Joseph Dempsey’s Registration & Firm History

IL

01/01/2023 - Present

Regiment Securities, LLC (CHICAGO IL)

NY

01/08/2019 - 01/04/2021

ARIVE CAPITAL MARKETS (Bay Ridge NY)

CT

01/01/2017 - 01/08/2019

CRITO CAPITAL LLC (WESTPORT CT)

NJ

11/24/2014 - 12/27/2016

MORPHEUS SECURITIES LLC (West Orange NJ)

NY

07/10/2013 - 04/03/2014

MILLER TABAK + CO., LLC (NEW YORK NY)

NJ

06/15/2009 - 06/20/2012

FELIX INVESTMENTS LLC (UPPER SADDLE RIVER NJ)

NY

09/25/2007 - 04/27/2009

ADVANCED EQUITIES, INC. (NEW YORK NY)

MO

01/05/2001 - 05/20/2002

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NY

05/17/1996 - 03/01/2000

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

07/21/1987 - 04/09/1996

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/26/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/24/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph Matthew Dempsey.
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