Unclaimed Profile

James Joseph Dempsey

THE RETIREMENT GROUP, LLC·SAN DIEGO, California

SIE, Series 3, Series 4, Series 7, Series 24, Series 27, Series 53, Series 63, Series 65, Series 66, Series 99TOClean record12 years registeredTHE RETIREMENT GROUP, LLC

10675 SORRENTO VALLEY ROAD, SAN DIEGO, CA 92121CRD# 1395637Firm CRD# 148296

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Joseph Dempsey · SAN DIEGO, CA

Registration

CRD #1395637 · THE RETIREMENT GROUP, LLC · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: THE RETIREMENT GROUP, LLC

SORRENTO PACIFIC FINANCIAL, LLC

Jan 2015 – Jul 2025

SAN DIEGO, CA

CUSO FINANCIAL SERVICES, L.P.

Jan 2014 – Jul 2025

SAN DIEGO, CA

THE RETIREMENT GROUP, LLC

Sep 2013 – Jan 2014

SAN DIEGO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 4

Series 7

Series 24

Series 27

Series 53

Series 63

Series 65

Series 66

Series 99TO

Registration record

First registered · September 17, 2013

Years registered · 12

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

THE RETIREMENT GROUP, LLC

CRD 148296 · SEC 801-69578

AUM

$544M

Regulatory assets under management

Employees

1,773 client accounts

Services offered by THE RETIREMENT GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at THE RETIREMENT GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does James Joseph Dempsey offer?

James Joseph Dempsey specializes in Financial Planning, Investment Management.

What are James Joseph Dempsey's credentials?

James Joseph Dempsey is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Joseph Dempsey located?

James Joseph Dempsey is based in SAN DIEGO, California, last registered with THE RETIREMENT GROUP, LLC.

How does James Joseph Dempsey charge for services?

James Joseph Dempsey's firm is compensated through percentage of aum, hourly charges, other: up front fees for certain types of accts. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THE RETIREMENT GROUP, LLC?

THE RETIREMENT GROUP, LLC has approximately 30 employees and manages $544M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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