James G Dempsey

CRD 1129349 · J.P. Morgan Securities LLC · Garden City, NY

IA RegisteredBroker

Also appears in the source record as: James Gerard Dempsey

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSIESeries 7Series 63Series 65
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 23
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (8)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Garden City, NY · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Garden City, NY · BC capacity

start not retrieved → present
J.P. Morgan Private Wealth Advisors LLC
Garden City, NY · IA capacity

Mar 15, 2016 → Mar 21, 2025
Alliance Fund Distributors, Inc.
Nashville, TN · BC capacity

Apr 29, 1994 → Apr 8, 1997
Smith Barney Shearson Inc.
New York, NY · BC capacity

Jul 31, 1993 → Aug 30, 1993
Lehman Brothers Inc.
New York, NY · BC capacity

Jul 29, 1987 → Jul 31, 1993
Advest, Inc.
BC capacity

Nov 30, 1983 → Aug 4, 1987
Vantage Securities Of Colorado, Inc.
BC capacity

Aug 15, 1983 → Nov 17, 1983

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1129349 ↗ FINRA BrokerCheck record for CRD 1129349 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.