William R. 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.
William Russell Dempsey, who also goes by Bill Dempsey, William R Dempsey, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2006. William had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2024 - August 19, 2025
FORESIDE FINANCIAL SERVICES, LLC
March 15, 2023 - May 29, 2024
ATHENE SECURITIES, LLC
January 10, 2012 - May 28, 2024
GRIFFIN CAPITAL SECURITIES, LLC
March 1, 2011 - August 9, 2011
GRUBB & ELLIS SECURITIES, INC.
March 1, 2011 - January 6, 2012
GRUBB & ELLIS CAPITAL CORPORATION
January 10, 2008 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
January 10, 2008 - March 1, 2011
MANULIFE INVESTMENT MANAGEMENT (US) LLC
May 29, 2007 - March 1, 2011
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 20, 2006 - May 7, 2007
CITIGROUP GLOBAL MARKETS INC.
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
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
