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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2011-02-14 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Financial Group | San Diego | CA | 02/2011 | Present |
DEMPSEY & ASSOCIATES POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1989 ADDRESS: 111 Main Street #g, Los Altos CA 94022, United States DESCRIPTION: 100% OWNER DBA DEMPSEY & ASSOCIATES FOR MARKETING PURPOSES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-13 |
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