Jonathan D. 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.
Jonathan Duff Dempsey was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1995. Jonathan had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2014 - February 18, 2020
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 12, 2012 - October 15, 2014
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 1, 2009 - June 29, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
August 24, 2000 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
August 31, 1999 - April 7, 2000
MML DISTRIBUTORS, LLC
March 4, 1997 - April 17, 1998
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
February 16, 1995 - June 18, 1997
VOYA FINANCIAL PARTNERS, 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
Current Firm
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CRD#: 145 / SEC#: , 8-13431
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE LINCOLN NATIONAL LIFE INSURANCE COMPANY | SHAREHOLDER | |
| CHRYSSIKOS, PAUL TELEMAC | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 7263748 |
| FALLER, DANIEL T | SENIOR VICE PRESIDENT, HEAD OF LFD FINANCE | 6006570 |
| GIBSON, JASON MICHAEL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION | 3081880 |
| KENNEDY, JOHN CHRISTOPHER | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2213083 |
| NEPA, JARED M. | SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION | 5157819 |
| OMORUYI, MEGAN VOGT | AVP, FINANCIAL AND OPERATIONS PRINCIPAL | 7803022 |
| SEIFERT, TIMOTHY JOHN | SENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION | 1577571 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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