Robert T. Dempsey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Thomas Dempsey, who also goes by Robert Thomas Demsey Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1995 - May 9, 2012
MORGAN DEMPSEY CAPITAL MANAGEMENT LLC
July 31, 1993 - March 1, 1995
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
January 15, 1987 - January 30, 1987
PLANMEMBER SECURITIES CORPORATION
December 8, 1983 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
MORGAN DEMPSEY CAPITAL MANAGEMENT LLC
CRD#: 106288 / SEC#: 801-48064
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN DEMPSEY CAPITAL MANAGEMENT LLC
CRD#: 106288 / SEC#: 801-48064
Contact information
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 563 |
| AUM (Assets Under Management) | $ 286,579,170 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
