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Michael Connor Dempsey

Schwab Wealth Advisory, Inc.

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About Michael Connor Dempsey

Michael Dempsey is a financial advisor with Schwab Wealth Advisory, Inc. Michael has been in the industry since 2001. Michael has a wide range of experience, specializing in financial planning, portfolio management for businesses, and portfolio management for individuals. Michael holds Series 7, 9, 63, and 66 licenses, and is a Certified Financial Planner. Michael is registered with the Financial Industry Regulatory Authority (FINRA) and is also registered in several states including Ohio, California, Texas, Florida, and New York. Michael is committed to providing his clients with personalized financial advice that meets their individual needs.

Firm Information

Michael Dempsey is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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other

Swa program paid by wrap sponsor pursuant to cost plan formula.

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Michael Dempsey’s Registration & Firm History

OH

01/02/2024 - Present

Schwab Wealth Advisory, Inc. (Richfield OH)

MI

02/24/2004 - 02/28/2006

TD WATERHOUSE INVESTOR SERVICES, INC. (SOUTHFIELD MI)

OH

09/30/2003 - 04/01/2004

NATCITY INVESTMENTS, INC. (CLEVELAND OH)

NE

11/24/2000 - 07/01/2003

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

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Licenses & Designations

BOTH

Issued 03/08/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/09/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/06/2017

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/21/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Michael Connor Dempsey.
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