James J. 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.
James Joseph Dempsey, who also goes by James J Dempsey, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 17 firms and has passed the Series 66, Series 63, Series 65, Series 99TO, SIE, Series 3, Series 7, Series 24, Series 27, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2025 - July 7, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
April 30, 2025 - July 7, 2025
NEXT FINANCIAL GROUP, INC.
April 30, 2025 - July 7, 2025
CADARET, GRANT & CO., INC.
January 6, 2015 - July 7, 2025
SORRENTO PACIFIC FINANCIAL, LLC
January 6, 2015 - July 7, 2025
SORRENTO PACIFIC FINANCIAL, LLC
January 7, 2014 - July 7, 2025
CUSO FINANCIAL SERVICES, L.P.
January 6, 2014 - July 7, 2025
CUSO FINANCIAL SERVICES, L.P.
September 17, 2013 - January 2, 2014
THE RETIREMENT GROUP, LLC
May 6, 2013 - January 10, 2014
FSC SECURITIES CORPORATION
October 4, 2004 - May 31, 2011
LPL FINANCIAL LLC
October 19, 2000 - April 25, 2001
SCUDDER WEISEL CAPITAL, LLC
October 11, 1999 - September 15, 2000
WALL STREET ACCESS
October 15, 1996 - July 30, 1999
BNY MELLON SECURITIES CORPORATION
April 27, 1995 - October 10, 1996
INTERNATIONAL CREDIT BROKERAGE CO., INC.
January 4, 1991 - June 27, 1994
BULL & BEAR SECURITIES, INC.
November 20, 1989 - January 14, 1991
L. F. ROTHSCHILD & CO. INCORPORATED
September 21, 1989 - November 28, 1989
QUICK & REILLY, INC.
August 12, 1986 - October 4, 1989
HSBC BROKERAGE (USA) INC.
November 19, 1985 - September 17, 1986
PRUDENTIAL EQUITY GROUP, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
