PD
Patrick Dempsey
J.P. MORGAN SECURITIES LLC
Brooklyn, NY 11245
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CRD#: 2830362
PD
Professional summary
Patrick Dempsey, who also goes by Patrick Paul Dempsey, is a registered financial professional currently at J.P. MORGAN SECURITIES LLC located in Brooklyn, New York and J.P. MORGAN PRIME INC. located in Brooklyn, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2013. Patrick has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Patrick Paul Dempsey
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Patrick Dempsey'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
July 29, 1997 - Present
J.P. MORGAN SECURITIES LLC
Office #1: 4 Chase Metrotech Center Floor 3 4, Brooklyn, NY, 11245RIA
BD
CRD#: 79
Brooklyn, NY
Current
June 21, 2016 - Present
J.P. MORGAN PRIME INC.
Office #1: 4 Chase Metrotech Ctr Floor 4, Brooklyn, NY 11245BD
CRD#: 282107
Brooklyn, NY
Past
July 23, 2013 - October 1, 2016
J.P. MORGAN CLEARING CORP.
BD
CRD#: 28432
BROOKLYN, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JM
J.P. MORGAN PRIME INC.
J.P. MORGAN PRIME INC.
CRD#: 282107 / SEC#: , 8-69703
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
383 Madison Avenue, New York, NY 10179
Mailing Address
1111 Polaris Parkway, Columbus, OH 43240
Phone number
(212) 272-2000
Established
Delaware since 10/02/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | STOCK HOLDER | 79 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| DICESARE, MICHAEL E | DIRECTOR, CHIEF EXECUTIVE OFFICER, AND CHAIR | 4706326 |
| KLION, ROGER JAY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5082261 |
| MEDINA, MATTHEW JOSEPH | CHIEF LEGAL OFFICER | 8115839 |
| SHERRICK, EILEEN FRANCES | CHIEF COMPLIANCE OFFICER | 2225907 |
| SISTO, MICHAEL J | DIRECTOR | 5151797 |
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.
