Sean P. Dempsey

ALLIANCE WEALTH ADVISORS

Scranton, PA 18503

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CRD#: 7390496

Professional summary

Sean Patrick Dempsey Jr., who also goes by Sean Patrick Dempsey, is a registered financial advisor currently at ALLIANCE WEALTH ADVISORS, LLC located in Scranton, Pennsylvania.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Sean has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Patrick Dempsey

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Dempsey Jr.'s CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 12, 2025 - Present

ALLIANCE WEALTH ADVISORS, LLC

Office #1: 538 Biden Street Suite 700, Scranton, PA 18503

RIA

CRD#: 288394

Scranton, PA

Past

December 7, 2022 - March 4, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SCRANTON, PA

Past

October 28, 2022 - March 4, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SCRANTON, PA

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".

ALLIANCE WEALTH ADVISORS, LLC

ALLIANCE CENTER FOR INVESTOR EDUCATION | THE ROSE HOLCOMB ROSS GROUP | ALLIANCE WEALTH ADVISORS, LLC

CRD#: 288394 / SEC#: 801-110512

RIA

Registered Investment Advisory firm - (6/6/2017 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(3/12/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/30/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/28/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/19/2022

Securities Industry Essentials Examination

Current Firm

ALLIANCE WEALTH ADVISORS, LLC

ALLIANCE CENTER FOR INVESTOR EDUCATION | THE ROSE HOLCOMB ROSS GROUP | ALLIANCE WEALTH ADVISORS, LLC

CRD#: 288394 / SEC#: 801-110512

RIA

Registered Investment Advisory firm - (6/6/2017 Approved)

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Contact information

Main Address

538 Biden Street Suite 700, Scranton, PA 18503

Mailing Address

Phone number

(570) 961-1516

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLIANCE WEALTH ADVISORS ADV BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	643
AUM (Assets Under Management)	$ 498,454,880

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.

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Sean P. Dempsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Dempsey Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCE WEALTH ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ALLIANCE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2022

Series 7TO

Date: 10/28/2022

SIE

Date: 8/19/2022

Current Firm

ALLIANCE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLIANCE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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