Michael Patrick Dempsey

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-05-02
MI	RA	APPROVED	2024-04-23

TX RA
APPROVED

Since 2024-05-02
MI RA
APPROVED

Since 2024-04-23

Branch Locations

27555 Executive Dr Suite 150, Farmington Hills, MI 48331 • United States

Disclosures

1 disclosure category 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.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Farmington Hills	MI	05/2011	11/2016
Wells Fargo Clearing Services, Llc	Farmington Hills	MI	11/2016	04/2024
Raymond James & Associates, Inc.	Farmington Hills	MI	04/2024	Present

05/2011 → 11/2016

Wells Fargo Advisors Llc

Farmington Hills, MI
11/2016 → 04/2024

Wells Fargo Clearing Services, Llc

Farmington Hills, MI
04/2024 → Present

Raymond James & Associates, Inc.

Farmington Hills, MI

Previous Registrations

2011-05-26 → 2024-04-29

Wells Fargo Clearing Services, Llc

Farmington Hills, MI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-04-29
S63	Uniform Securities Agent State Law Examination	2010-12-31

S65 Uniform Investment Adviser Law Examination

2011-04-29
S63 Uniform Securities Agent State Law Examination

2010-12-31

Designations

Certified Financial Planner

View on SEC IAPD