Thomas A. Dempster
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 Adrian Dempster was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2015 - July 3, 2024
IFAM CAPITAL
January 27, 2014 - March 24, 2015
IFM CAPITAL ADVISORS, LLC
December 1, 2008 - January 27, 2014
UBS FINANCIAL SERVICES INC.
November 20, 2008 - January 27, 2014
UBS FINANCIAL SERVICES INC.
August 23, 1994 - November 24, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 1994 - November 24, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 1978 - July 8, 1994
DAIN RAUSCHER INCORPORATED
September 1, 1977 - May 5, 1978
DAIN, KALMAN & QUAIL, INCORPORATED
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 8
Date: 3/8/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
IFAM CAPITAL
CRD#: 175084 / SEC#: 801-81076
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 821 |
| AUM (Assets Under Management) | $ 1,705,072,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/18/2024 | ||
| 12/21/2023 | ||
| 12/12/2022 | ||
| 11/29/2021 |
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.
