Marc J. Dion

MORGAN DEMPSEY CAPITAL MANAGEMENT LLC

MENOMONEE FALLS, WI 53051

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CRD#: 1770462

Professional summary

Marc Joseph Dion is a registered financial advisor currently at MORGAN DEMPSEY CAPITAL MANAGEMENT LLC located in Menomonee Falls, Wisconsin.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Marc has worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

St. Francis Borgia Catholic Church; Investment Related; 1375 Covered Bridge Road Cedarburg, WI 53012; Religious Organization; Head of the Investment Committee; Started September 2017; <1 per month and 0 hours during trading hours; Organize quarterly meetings with outside Investment Consultant Attend the outside Investment Consultant's quarterly review of both the Capital markets and the Parish's portfolios with the other members of the Investment Committee. Communicate any investment recommendations of the Investment Committee to the St. Francis Borgia Church Finance Council for the council's consideration

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Joseph Dion's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 24, 2004 - Present

MORGAN DEMPSEY CAPITAL MANAGEMENT LLC

Office #1: 111 Heritage Reserve Suite 200, Menomonee Falls, WI 53051

RIA

CRD#: 106288

MENOMONEE FALLS, WI

Past

September 22, 2003 - February 13, 2004

INNOVATIVE SECURITIES, INC.

CRD#: 24097

WAUWATOSA, WI

Past

October 6, 1999 - July 9, 2001

D.A. DAVIDSON & CO.

CRD#: 199

GREAT FALLS, MT

Past

May 29, 1991 - October 13, 1999

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

Past

December 22, 1987 - May 7, 1991

GS2 SECURITIES, INC.

CRD#: 14745

MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MORGAN DEMPSEY CAPITAL MANAGEMENT LLC

CRD#: 106288 / SEC#: 801-48064

RIA

Registered Investment Advisory firm - (12/19/1994 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(3/24/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/1/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/14/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 9/18/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/28/1992

General Securities Principal Examination

Current Firm

MORGAN DEMPSEY CAPITAL MANAGEMENT LLC

CRD#: 106288 / SEC#: 801-48064

RIA

Registered Investment Advisory firm - (12/19/1994 Approved)

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Contact information

Main Address

10850 W. Park Place Suite 470, Milwaukee, WI 53224

Mailing Address

Phone number

(414) 319-1080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MORGAN DEMPSEY CAPITAL MANAGEMENT ADV PART 2A (6/17/2025)

Regulatory assets under management

Total Number of Accounts	563
AUM (Assets Under Management)	$ 286,579,170

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Marc J. Dion

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Joseph Dion's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATIVE SECURITIES, INC.

D.A. DAVIDSON & CO.

B. C. ZIEGLER AND COMPANY

GS2 SECURITIES, INC.

Primary Firm SEC Registration

MORGAN DEMPSEY CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/1/2003

Series 65

Date: 10/14/1992

Series 7

Date: 9/18/2003

Series 24

Date: 7/28/1992

Current Firm

MORGAN DEMPSEY CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MORGAN DEMPSEY CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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