CD
Cornelius F. Dempsey
INDEPENDENT FINANCIAL GROUP
Los Altos, CA 94022
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CRD#: 1867743
CD
Professional summary
Cornelius Francis Dempsey III, who also goes by Con Dempsey III, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Los Altos, California.
Cornelius is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Cornelius has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Con Dempsey Iii
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.
DEMPSEY & ASSOCIATES POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1989 ADDRESS: 111 Main Street #g, Los Altos CA 94022, United States DESCRIPTION: 100% OWNER DBA DEMPSEY & ASSOCIATES FOR MARKETING PURPOSES.
CRS (Client Relationship Summary) - RIA
Click below to view Cornelius Francis Dempsey III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cornelius Francis Dempsey III's 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®
NoneExperience
Current
February 11, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 111 Main Street #g, Los Altos, CA 94022RIA
BD
CRD#: 7717
Los Altos, CA
Current
February 11, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 111 Main Street #g, Los Altos, CA 94022RIA
BD
CRD#: 7717
Los Altos, CA
Past
October 12, 2007 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
LOS ALTOS, CA
Past
October 5, 2007 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
LOS ALTOS, CA
Past
February 6, 1998 - October 3, 2007
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LOS ALTOS, CA
Past
January 22, 1998 - October 1, 2007
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LOS ALTOS, CA
Past
July 11, 1994 - January 26, 1998
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
December 20, 1988 - July 26, 1994
SOARES FINANCIAL GROUP, INC.
BD
CRD#: 16286
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/11/2011)
RR
California(2/11/2011)
IAR
California(2/14/2011)
RR
Idaho(5/22/2025)
RR
Montana(3/1/2023)
RR
Nevada(3/10/2022)
RR
North Carolina(9/4/2020)
RR
Oregon(2/11/2011)
RR
Virginia(10/16/2025)
RR
Washington(2/11/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Los Altos, CA 94022TRUST BUT VERIFY
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