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STEPHEN R DEMPSEY
CRD#: 5782019
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 BELLINGHAM, WA
Registration History
2010201220142016201820202022202420262 FIRMS2012 - 2018 (5 years)2 FIRMS2018 - 2020 (1 year)2 FIRMS2020 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2010 - 2011 (<1 year)
License(s)

State Registrations

B
Illinois 1/15/2020

B
South Carolina 1/22/2020

B
Indiana 1/15/2020

B
Texas 1/15/2020

B
Iowa 1/15/2020

IA
Texas 1/15/2020

B
Michigan 1/15/2020

B
Virginia 1/15/2020

B
Minnesota 1/15/2020

B
Washington 1/15/2020

B
Ohio 1/15/2020

IA
Washington 1/15/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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LPL FINANCIAL LLC (CRD#:6413)
BELLINGHAM, WA
Registered with this firm since 1/15/2020

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LPL FINANCIAL LLC (CRD#:6413)
BELLINGHAM, WA
Registered with this firm since 1/15/2020

Previous Registration(s)
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IA
04/17/2018 - 01/16/2020 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) BELLINGHAM, WA
B
04/17/2018 - 01/16/2020 SECURITIES AMERICA, INC. (CRD#:10205) BELLINGHAM, WA
IA
11/27/2012 - 04/23/2018 WADDELL & REED (CRD#:866) BELLINGHAM, WA
B
11/20/2012 - 04/23/2018 WADDELL & REED (CRD#:866) BELLINGHAM, WA
B
06/09/2010 - 01/06/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ANN ARBOR, MI
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.