James Kevin Dempsey

CRD 2417256 · J.P. Morgan Securities LLC · Mason, OH

IA RegisteredBroker

Also appears in the source record as: Jim Dempsey III

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (52): 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 · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2417256 contains one or more disclosure events as of Aug 20, 2026.

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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 (14)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Mason, OH · BC capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Mason, OH · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Mason, OH · IA capacity

start not retrieved → present
Chase Investment Services Corp.
Cincinnati, OH · IA capacity

Jan 24, 2006 → Oct 1, 2012
Chase Investment Services Corp.
Cincinnati, OH · BC capacity

Jan 24, 2006 → Oct 1, 2012
The Huntington Investment Company
Cincinnati, OH · IA capacity

Jul 23, 2004 → Jan 11, 2006
The Huntington Investment Company
Cincinnati, OH · BC capacity

May 13, 2004 → Jan 11, 2006
Banc One Securities Corporation
Williamsburg, OH · IA capacity

May 20, 2003 → Apr 26, 2004
Banc One Securities Corporation
Chicago, IL · BC capacity

May 20, 2003 → Apr 26, 2004
Ubs Painewebber Inc.
Weehawken, NJ · BC capacity

Aug 7, 1998 → Dec 17, 2002
R. H. York & Company, Inc.
Covington, KY · BC capacity

Mar 5, 1998 → Aug 7, 1998
A. G. Edwards & Sons, Inc.
St. Louis, MO · BC capacity

Aug 11, 1997 → Jan 12, 1998
Edward D. Jones & Co., L.P.
St. Louis, MO · BC capacity

Dec 8, 1995 → Aug 5, 1997
Fidelity Brokerage Services, Inc.
Smithfield, RI · BC capacity

Oct 29, 1993 → Nov 15, 1995

Source & corrections

Where this page comes from

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