Alex F. Dempster
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.
Alex Francis Dempster III, who also goes by Alex Dempster, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 1996. Alex had worked at 6 firms and has passed the Series 65, Series 63, 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 18, 2021 - January 19, 2023
CONNECTUS WEALTH
April 29, 2011 - November 8, 2021
NORTHCOAST ASSET MANAGEMENT LLC
December 19, 2005 - March 16, 2010
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - March 16, 2010
FRANKLIN DISTRIBUTORS, LLC
July 8, 2005 - December 16, 2005
CITIGROUP GLOBAL MARKETS INC.
February 4, 1998 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
October 25, 1996 - September 11, 1997
FEDERATED SECURITIES CORP.
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
CONNECTUS WEALTH
CRD#: 310912 / SEC#: 801-119970
Contact information
Regulatory assets under management
| Total Number of Accounts | 12,022 |
| AUM (Assets Under Management) | $ 8,674,470,008 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2024 | ||
| 10/18/2023 | ||
| 12/22/2022 |
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.
