David M. Dempsey
Professional summary
David Mathew Dempsey, who also goes by David Matthew Dempsey, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2009. David has worked at 3 firms and has passed the Series 99TO, SIE, Series 3, Series 7 and Series 30 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Mathew Dempsey's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2023 - Present
TP ICAP GLOBAL MARKETS AMERICAS LLC
Office #1: 200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008November 14, 2011 - December 21, 2016
BROKERTEC AMERICAS LLC
November 14, 2011 - June 30, 2023
ICAP SECURITIES USA LLC
May 29, 2009 - January 23, 2019
TP ICAP GLOBAL MARKETS AMERICAS LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
NYSE American LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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