Michael C. Dempsey

SCHWAB WEALTH ADVISORY

Richfield, OH 44286

Some features on this profile are disabled

CRD#: 4071293

Professional summary

Michael Connor Dempsey, CFP®, who also goes by Michael C. Dempsey, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Richfield, Ohio and CHARLES SCHWAB & CO., INC. located in Richfield, Ohio.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael C. 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Connor Dempsey's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

January 2, 2024 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 4150 Kinross Lakes Pkwy, Richfield, OH 44286

RIA

CRD#: 159035

Richfield, OH

Current

March 13, 2006 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 4150 Kinross Lakes Pkwy, Richfield, OH 44286

RIA

CRD#: 5393

Richfield, OH

Past

January 4, 2006 - December 26, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

RICHFIELD, OH

Past

March 16, 2004 - February 28, 2006

TD AMERITRADE, INC.

RIA

CRD#: 7870

SOUTHFIELD, MI

Past

February 24, 2004 - February 28, 2006

TD AMERITRADE, INC.

CRD#: 7870

SOUTHFIELD, MI

Past

September 30, 2003 - April 1, 2004

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

November 24, 2000 - July 1, 2003

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/23/2021)

Arizona
(2/8/2022)

California
(1/2/2009)

Colorado
(10/20/2022)

Connecticut
(2/7/2024)

District of Columbia
(11/13/2024)

Florida
(1/5/2021)

Georgia
(9/23/2021)

Illinois
(2/8/2022)

Indiana
(9/23/2021)

Iowa
(2/7/2024)

Kentucky
(2/8/2022)

Maryland
(2/7/2024)

Massachusetts
(2/7/2024)

Michigan
(2/8/2022)

Missouri
(8/21/2024)

Nevada
(9/21/2023)

New Mexico
(2/7/2024)

New York
(3/10/2022)

Ohio
(3/13/2006)

IAR

Ohio
(1/2/2024)

Pennsylvania
(2/8/2022)

South Carolina
(9/3/2025)

South Dakota
(1/6/2025)

Tennessee
(11/28/2023)

Texas
(1/5/2021)

Washington
(2/7/2024)

Wisconsin
(2/7/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/8/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/9/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/6/2017

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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.

Similar Advisors

Boris Kagarlitskiy

KEY INVESTMENT SERVICES LLC

IAR

University Heights, OH

James Magyari

COMMONWEALTH FINANCIAL NETWORK

IAR

Solon, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael C. Dempsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Connor Dempsey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

NATCITY INVESTMENTS, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/8/2004

Series 63

Date: 12/9/1999

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2000

Series 9

Date: 10/6/2017

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

Similar Advisors