Donald A. 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.
Donald Aloysis Dempsey was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 2009. Donald had worked at 1 firm and has passed the Series 65 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
September 4, 2009 - July 18, 2014
MARWOOD GROUP RESEARCH
May 20, 2009 - July 18, 2014
MARWOOD GROUP RESEARCH
State Registrations and Notice Filings
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Exams
Current Firm
MARWOOD GROUP RESEARCH
CRD#: 147316 / SEC#: , 8-67969
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DORFMAN, ADDIE TAL | CHIEF COMPLIANCE OFFICER | 6911301 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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