Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dempsey is an investment advisor representative with LPL Financial LLC, based in AVON, OH. Richard has over 20 years of experience in the financial services industry, having worked with several firms including Morgan Stanley, Fifth Third Securities, Inc., and Prudential Securities Incorporated. He is licensed to provide investment advice in Ohio. Richard has successfully passed the Series 7, 63 and 65 exams, as well as the SIE exam. He is a knowledgeable advisor who has a strong track record of providing investment advice to individuals, corporations, and institutions.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
OH
11/28/2023 - Present
LPL Financial LLC (AVON OH)
OH
01/01/2023 - 10/17/2023
MORGAN STANLEY (Pepper Pike OH)
OH
03/27/1999 - 01/25/2008
FIFTH THIRD SECURITIES, INC. (CLEVELAND OH)
OH
01/29/1997 - 03/27/1999
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
NY
03/27/1996 - 12/10/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 01/25/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/15/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/31/2022
Series 7TO - General Securities Representative Examination
BC
Issued 11/28/2022
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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