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Patrick Dempsey

Treasurer at J.P. Morgan Securities

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Patrick Dempsey is Treasurer of J.P. Morgan Securities LLC, a New York investment adviser managing $430B. Patrick Dempsey has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 63, SIE and Series 99TO.

Role at J.P. Morgan Securities

Title on Schedule A
Treasurer
Control
Patrick Dempsey is not a control person of J.P. Morgan Securities.
Ownership
An individual ownership band is not available in the source record.
Tenure
Patrick Dempsey has held the filed role since August 2013.

The firm

J.P. Morgan Securities LLC
New York, NY

Form ADV filed 30 September 2026

$430B AUM1,246,646 clients8,479 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 63 · 1998
  4. Passed Series 7 · 1997

Registrations and exams

Broker registration; no current adviser registration. Patrick Dempsey has passed 4 qualifying exams.

Examinations

Series 631 May 1998
Name
Uniform Securities Agent State Law Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 728 July 1997
Name
General Securities Representative Examination

Individual record

Full name
Patrick Dempsey
CRD
2830362
Firm
J.P. Morgan Securities LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Patrick Dempsey work?

Patrick Dempsey has been Treasurer of J.P. Morgan Securities LLC since August 2013.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Patrick Dempsey have a current investment-adviser registration?

Patrick Dempsey has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Patrick Dempsey passed?

Patrick Dempsey has passed 4 licensing exams: the Series 7, Series 63, SIE and Series 99TO. The earliest, the Series 7, was passed in July 1997.

Source: IAPD individual record, checked 17 October 2026

Leadership at J.P. Morgan Securities

Sources

  1. IAPD individual record, CRD 2830362. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of J.P. Morgan Securities LLC, filed 30 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Patrick Dempsey or J.P. Morgan Securities LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.