Thomas 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.
Thomas Anthony Dempsey, who also goes by Thomas A Dempsey, Tom Dempsey, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2012. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, 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
April 24, 2023 - September 26, 2023
ATHENE SECURITIES, LLC
December 6, 2016 - September 25, 2023
GRIFFIN CAPITAL SECURITIES, LLC
June 8, 2015 - October 13, 2016
RESOURCE SECURITIES LLC
June 24, 2014 - June 2, 2015
EQUITABLE ADVISORS, LLC
September 14, 2012 - June 2, 2015
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 10/27/2025
General Securities Representative ExaminationCurrent Firm
ATHENE SECURITIES, LLC
CRD#: 36867 / SEC#: , 8-47499
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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