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Dorothy Dembowski

J.P. Morgan Securities LLC
20 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
View SEC Summary

Dorothy Dembowski is a registered investment advisor at J.P. Morgan Securities LLC, based in New York, NY, with 20 years of industry experience. Dorothy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

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

Location

Rock Center, 1230 Avenue of Americas, New York, NY, 10020

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2009
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
J.P. Morgan Securities LLC
May 2024 - Present · 2 yrs 5 mos
J.P. Morgan Securities LLCBroker
September 2023 - Present · 3 yrs 1 mo
Previous Registrations
J.P. Morgan Private Wealth Advisors LLC
November 2021 - March 2025 · 3 yrs 4 mos
First Republic Securities Company, LLCBroker
November 2021 - September 2023 · 1 yr 10 mos
Citigroup Global Markets INC.Broker
June 2010 - July 2020 · 10 yrs 1 mo
Citigroup Global Markets INC.
June 2010 - July 2020 · 10 yrs 1 mo
Ameriprise Financial Services, INC.
April 2009 - June 2010 · 1 yr 2 mos
Ameriprise Financial Services, INC.Broker
April 2009 - June 2010 · 1 yr 2 mos
UBS Financial Services INC.
March 2005 - May 2009 · 4 yrs 2 mos
UBS Financial Services INC.Broker
February 2005 - May 2009 · 4 yrs 3 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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