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James G Dempsey

J.P. Morgan Securities LLC

Garden City, NY

White Plains, NY

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-01-09
NY RA APPROVED 2024-01-08
  • TX RA
    APPROVED_RES
    Since 2024-01-09
  • NY RA
    APPROVED
    Since 2024-01-08

Branch Locations

82 7Th St, Garden City, NY 11530 • United States

925 Westchester Avenue Floor 04, White Plains, NY 10604 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Republic Investment Management San Francisco CA 01/2012 07/2023
J.P. Morgan Private Wealth Advisers Llc Garden City NY 01/2012 Present
J.P. Morgan Securities Llc Garden City NY 12/2023 Present
Jpmorgan Chase Bank, N.A. Garden City NY 07/2023 Present
  • 01/2012 → 07/2023
    First Republic Investment Management
    San Francisco, CA
  • 01/2012 → Present
    J.P. Morgan Private Wealth Advisers Llc
    Garden City, NY
  • 12/2023 → Present
    J.P. Morgan Securities Llc
    Garden City, NY
  • 07/2023 → Present
    Jpmorgan Chase Bank, N.A.
    Garden City, NY
Previous Registrations
  • 2016-03-15 → 2025-03-21
    J.P. Morgan Private Wealth Advisors Llc
    Garden City, NY
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-03-20
S65 Uniform Investment Adviser Law Examination 2016-03-15
  • S63 Uniform Securities Agent State Law Examination
    2024-03-20
  • S65 Uniform Investment Adviser Law Examination
    2016-03-15
Other Names
  • James G Dempsey
  • James Gerard Dempsey

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

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