JD
Jason W. Dempsey
USAA INVESTMENT SERVICES COMPANY
Plano, TX 75024
Some features on this profile are disabled
CRD#: 4453498
JD
Professional summary
Jason Wayne Dempsey, CFP®, ChFC® is a registered financial advisor currently at USAA INVESTMENT SERVICES COMPANY located in Plano, Texas.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jason has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) - RIA
Click below to view Jason Wayne Dempsey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason Wayne 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®
Experience
Current
October 18, 2024 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 7300 Parkwood Blvd. Building A 3rd Floor, Plano, TX, 75024RIA
BD
CRD#: 5475
Plano, TX
Current
October 18, 2024 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 7300 Parkwood Blvd. Building A 3rd Floor, Plano, TX, 75024RIA
BD
CRD#: 5475
Plano, TX
Past
May 23, 2020 - May 25, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Westlake, TX
Past
May 23, 2020 - May 25, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Westlake, TX
Past
January 8, 2018 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
Addison, TX
Past
March 11, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
ADDISON, TX
Past
September 6, 2012 - March 11, 2013
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
February 6, 2007 - September 17, 2012
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
SAN ANTONIO, TX
Past
January 29, 2007 - May 24, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
ADDISON, TX
Past
July 25, 2002 - August 23, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
ST JOSEPH, MO
Past
October 15, 2001 - August 23, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
ST. JOSEPH, MO
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".
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
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
RR
Texas(10/18/2024)
IAR
Texas(10/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Phone number
(800) 531-7960
Established
Delaware since 09/01/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
152
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
Company Information
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475Plano, TX 75024TRUST BUT VERIFY
Monitor Jason Dempsey
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
