David Joseph Dempsey
Professional Summary
David Joseph Dempsey is a registered financial advisor currently at WATERMILL INSTITUTIONAL TRADING LLC located in Jersey City, New Jersey. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. David has worked at 8 firms and has passed the Series 65, Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 87, Series 7, Series 14, Series 24, Series 4 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
WATERMILL INSTITUTIONAL TRADING LLC | WATERMILL TRADING LLC
Contact Information
Main Address
111 Town Square Place Suite 1520, Jersey City, NJ 07310Mailing Address
111 Town Square Place Suite 1520, Jersey City, NJ 07310Phone Number
(917) 621-3829Established
Delaware since 01/23/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
20FINRA licenses (15 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(4/16/2014)
(4/14/2014)
(4/30/2015)
(1/26/2015)
(2/10/2025)
(7/27/2010)
(6/30/2014)
(1/11/2021)
(5/30/2014)
(8/29/2014)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 2010Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Jun 2005About the Series 87 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Joseph Dempsey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Joseph Dempsey's CRS (Customer Relationship Summary).
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