Donald Dempster has been President and Chief Compliance Officer of DLK Investment Advisors since February 2013, is a control person of the firm and directly owns 75% or more of it.
DLK Investment Advisors, LLC is a Mercer Island, WA firm with $141M under management, 32 clients and 2 advisers in one office, as of its March 2026 filing.
Donald Dempster’s longest registration is the current one, 12 years at DLK Investment Management since 2014. Before joining DLK Investment Advisors in 2025, Donald Dempster was registered through Alpha Cubed Investments, LLC.
- DLK Investment Advisors, LLCCurrent– present · 1 yearMercer Island, WA · Adviser representative · Firm CRD 328897
- Alpha Cubed Investments, LLC– · 3 yearsIrvine, CA · Adviser representative · Firm CRD 159347
- DLK Investment ManagementAlso current– present · 12 yearsSolana Beach, CA · Adviser representative · Firm CRD 149096
Investment adviser representative registrations
Donald Dempster is registered as an investment adviser representative in 2 states. The first approvals date from August 2014; the most recent is Washington, in February 2025.
- CaliforniaSince 6 August 2014
- WashingtonSince 13 February 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 23 April 1999 |
| Series 24 | General Securities Principal Examination | 15 October 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 3 July 1995 |
| Series 65 | Uniform Investment Adviser Law Examination | 23 June 1995 |
| Series 7 | General Securities Representative Examination | 2 February 1995 |
- Name
- Futures Managed Funds Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Full name
- Donald Ogden Dempster
- CRD
- 2500548
- Firm
- DLK Investment Advisors · CRD 328897
- Role
- President and Chief Compliance Officer
- Office
- 7525 SE 24TH STREET, SUITE 410, Mercer Island, WA 98040
- Registration
- Investment adviser registration
- In the industry since
- August 2014
- Disciplinary history
- Not yet shown here · SEC record
Where does Donald Dempster work?
Donald Dempster has been President and Chief Compliance Officer of DLK Investment Advisors, LLC since February 2013, and is a control person of the firm.
Is Donald Dempster a financial advisor?
Yes. Donald Dempster has a current investment-adviser registration in California and Washington, through DLK Investment Advisors since February 2025.
How many years of experience does Donald Dempster have?
Donald Dempster has 12 years in the financial industry, since August 2014, across 3 adviser firms.
What exams has Donald Dempster passed?
Donald Dempster has passed 5 licensing exams: the Series 7, Series 65, Series 63, Series 24 and Series 31. The earliest, the Series 7, was passed in February 1995.
Where did Donald Dempster work before DLK Investment Advisors?
Before DLK Investment Advisors, Donald Dempster was registered through Alpha Cubed Investments, LLC, October 2014 to December 2017.
Where is Donald Dempster based?
Donald Dempster’s registered office is in Mercer Island, WA.
Is Donald Dempster registered with FINRA?
No. Donald Dempster has no current broker registration.
How can I verify Donald Dempster’s record?
Search CRD 2500548 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Donald Dempster’s full registration record.