Patrick H. 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.
Patrick Hayes Dempsey was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1998. Patrick had worked at 4 firms and has passed the Series 63, Series 55, Series 7 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
May 27, 2011 - July 30, 2012
RODMAN & RENSHAW, LLC
May 5, 2007 - May 27, 2011
HUDSON SECURITIES,INC.
April 25, 2005 - August 23, 2006
UBS SECURITIES LLC
March 15, 2005 - February 15, 2006
UBS CAPITAL MARKETS L.P.
February 11, 1998 - February 17, 2005
UBS CAPITAL MARKETS L.P.
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
Series 55
Date: 10/13/1998
Limited Representative-Equity Trader ExamCurrent Firm
RODMAN & RENSHAW, LLC
CRD#: 16415 / SEC#: , 8-33862
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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