Joseph M. Dempsey

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CRD#: 1689905

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.

Joseph Matthew Dempsey was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 10 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 1, 2023 - September 24, 2024

REGIMENT SECURITIES, LLC.

CRD#: 311302

CHICAGO, IL

Past

January 8, 2019 - January 4, 2021

ARIVE CAPITAL MARKETS

CRD#: 8060

Bay Ridge, NY

Past

January 1, 2017 - January 8, 2019

CRITO CAPITAL LLC

CRD#: 161724

WESTPORT, CT

Past

November 24, 2014 - December 27, 2016

MORPHEUS SECURITIES LLC

CRD#: 45561

West Orange, NJ

Past

July 10, 2013 - April 3, 2014

MILLER TABAK + CO., LLC

CRD#: 47293

NEW YORK, NY

Past

June 15, 2009 - June 20, 2012

FELIX INVESTMENTS LLC

CRD#: 148441

UPPER SADDLE RIVER, NJ

Past

September 25, 2007 - April 27, 2009

ADVANCED EQUITIES, INC.

CRD#: 35545

NEW YORK, NY

Past

January 5, 2001 - May 20, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 17, 1996 - March 1, 2000

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

July 21, 1987 - April 9, 1996

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/26/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Current Firm

REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

420 N. Wabash Avenue, Chicago, IL 60611

Mailing Address

420 N. Wabash Avenue 430, Chicago, IL 60611

Phone number

(773) 480-7561

Established

Delaware since 09/21/2020

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
REGIMENT, LLC.	MEMBER
BURNHAM, STEPHEN TYLER	SHAREHOLDER/PRINCIPAL	4663613
D&A CAPITAL PARTNERS LLC	MEMBER
CAVANAUGH, MICHAEL ALAN	CEO/CCO	4794844
JONES, SHARON DOSTER	FINOP/PFO/POO	3124470

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.

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Advisor Monitoring

Firm Stability Insights

Joseph M. Dempsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARIVE CAPITAL MARKETS

CRITO CAPITAL LLC

MORPHEUS SECURITIES LLC

MILLER TABAK + CO., LLC

FELIX INVESTMENTS LLC

ADVANCED EQUITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

J.P. MORGAN SECURITIES LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/2008

Series 79TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2007

Series 24

Date: 1/2/2023

Current Firm

REGIMENT SECURITIES, LLC.

Contact information

FINRA licenses (33 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

REGIMENT SECURITIES, LLC.

TRUST BUT VERIFY

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