Sean Patrick Dempsey Jr.
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sean Patrick Dempsey
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
EDWARD JONES
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
EDWARD JONES
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
EDWARD JONES
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
EDWARD JONES
Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
EDWARD JONES
Current Firm
ALLIANCE CENTER FOR INVESTOR EDUCATION | THE ROSE HOLCOMB ROSS GROUP | ALLIANCE WEALTH ADVISORS, LLC
Contact Information
Main Address
538 Biden Street Suite 700, Scranton, PA 18503Phone Number
(570) 961-1516# of Employees
8SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
677AUM (Assets Under Management)
$601,101,030Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
EDWARD JONES
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
EDWARD JONES
Primary Firm SEC Registration
ALLIANCE CENTER FOR INVESTOR EDUCATION | THE ROSE HOLCOMB ROSS GROUP | ALLIANCE WEALTH ADVISORS, LLC
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
EDWARD JONES
CRS (Client Relationship Summary) - RIA
Click below to view Sean Patrick Dempsey Jr.'s CRS (Customer Relationship Summary).
Similar Advisors
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
EDWARD JONES