Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Dempsey is a financial professional with experience in the securities industry. He is currently registered with DFA Securities LLC and holds Series 7 and Series 63 licenses. William was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. William is registered to offer securities in all 50 states.
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.
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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NC
09/21/2018 - Present
DFA Securities LLC (CHARLOTTE NC)
NY
10/24/2017 - 09/04/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 10/22/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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