Brian P. 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.
Brian P. Dempsey, who also goes by Brian Patrick Dempsey, Brian P. Dempsey, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2022. Brian had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2023 - October 14, 2025
HARBOR CAPITAL ADVISORS, INC.
October 30, 2023 - October 14, 2025
HARBOR FUNDS DISTRIBUTORS, INC.
July 28, 2022 - September 15, 2023
J.P. MORGAN SECURITIES LLC
March 1, 2022 - September 15, 2023
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
HARBOR CAPITAL ADVISORS, INC.
CRD#: 113042 / SEC#: 801-60367
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
Series 7TO
Date: 3/1/2022
General Securities Representative ExaminationCurrent Firm
HARBOR CAPITAL ADVISORS, INC.
CRD#: 113042 / SEC#: 801-60367
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 64,793,443,492 |
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.
