Dempsey B. Hammond
Professional summary
Dempsey Bennett Hammond JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dempsey is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Dempsey had worked at 5 firms, which includes J.W. COLE FINANCIAL INC., NATIONAL PLANNING CORPORATION, VOYA FINANCIAL ADVISORS INC., RAYMOND JAMES FINANCIAL SERVICES INC., OGILVIE SECURITY ADVISORS CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2006 - March 20, 2006
J.W. COLE FINANCIAL, INC.
January 2, 2003 - January 24, 2006
NATIONAL PLANNING CORPORATION
November 1, 2002 - December 12, 2002
VOYA FINANCIAL ADVISORS, INC.
March 25, 2002 - October 21, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 22, 1997 - April 16, 2002
OGILVIE SECURITY ADVISORS CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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