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Thomas Francis Dempsey

Brokers International Financial Services, LLC

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About Thomas Francis Dempsey

Thomas Dempsey is a financial advisor at Brokers International Financial Services, LLC in Urbandale, IA. Thomas has been in the industry since 1999 and holds Series 6, 7, 24, 63 and 65 licenses. Previously, Thomas worked at Transamerica Financial Advisors, Inc. in Johns Creek, GA. Thomas specializes in retirement planning, investment advisory services, mutual funds, and annuities.

Firm Information

Thomas Dempsey is currently registered with Brokers International Financial Services, LLC. Brokers International Financial Services, LLC is a Limited Liability Company based in Urbandale, IA, that provides investment advisory services to individuals, businesses, charitable organizations, and other investment advisors. The firm is registered with the SEC and in all 51 states and has over 180 licensed agents, 173 investment advisor representatives, and 197 registered representatives. They have approximately $2 billion in assets under management, with a majority of their clients being individuals other than high-net-worth, followed by high-net-worth individuals. They also offer educational seminars and publish periodicals, and they are involved in wrap fee program participation.
Brokers International Financial Services, LLC

4135 NW URBANDALE DR

URBANDALE, IA 50322

$2.00B

Assets Under Management

10

Total Clients

226

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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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Percentage of assets managed by third-party advisor firms

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Thomas Dempsey’s Registration & Firm History

IA

07/29/2022 - Present

Brokers International Financial Services, LLC (URBANDALE IA)

GA

02/26/2019 - 07/05/2022

TRANSAMERICA FINANCIAL ADVISORS, INC (JOHNS CREEK GA)

FL

06/10/2008 - 02/08/2019

TRANSAMERICA CAPITAL, INC. (DADE CITY FL)

NY

04/05/2007 - 06/03/2008

ALPS DISTRIBUTORS, INC. (NEW YORK NY)

NC

02/22/2006 - 02/02/2007

EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)

MA

12/09/1999 - 01/30/2006

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)

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Licenses & Designations

IA

Issued 03/10/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/10/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/03/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/16/2001

Series 7 - General Securities Representative Examination

BC

Issued 12/06/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Francis Dempsey.
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