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ChFC

Richard Dempsey

Edward Jones
15 Years of Experience
Cape Coral, FL
Broker
View SEC Summary
View SEC Summary

Richard Dempsey is a ChFC-designated registered investment advisor at Edward Jones, based in Cape Coral, FL, with 15 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 4,069,320 clients with $1000B in assets under management.

Edward Jones
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
24113 advisors
Number of Clients
4,069,320 clients
Average Client Portfolio
$249K average
Assets Under Management
$1013.6B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.40%

The fee schedule consists of a Program Fee (up to 1.35%) and a Platform Fee (up to 0.05%), totaling a maximum annual rate of 1.40%. Fees are negotiable and may be lower based on account size or pricing groups.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3208 Chiquita Blvd S Ste 207, Cape Coral, FL, 33914-4267

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Edward Jones
September 2019 - Present · 7 yrs 1 mo
Edward JonesBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
USAA Investment Management Company
January 2018 - September 2018 · 8 mos
USAA Financial Planning Services
August 2017 - January 2018 · 5 mos
USAA Financial Advisors, INC.Broker
August 2017 - September 2018 · 1 yr 1 mo
Cambridge Investment Research Advisors, INC.
September 2009 - December 2015 · 6 yrs 3 mos
Cambridge Investment Research, INC.Broker
September 2009 - December 2015 · 6 yrs 3 mos
United Planners' Financial Services of America a Limited PartnerBroker
January 2009 - September 2009 · 8 mos
United Planners' Financial Services of America a Limited Partner
June 2008 - September 2009 · 1 yr 3 mos
Gerstein, Fisher & Associates, INC.
August 2007 - October 2007 · 2 mos
State Registrations22 states
CADEFLGAHIILINMAMIMNMSNCNHNJOHPASCTNTXVAWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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