Dempsey Investment Management

The National Association of Personal Financial Advisors is the nation's leading organization of Fee-Only comprehensive financial planning professionals.

Since 1983, NAPFA's ranks have enjoyed steady growth, operating under a strict code of ethics and fiduciary oath. NAPFA members are trusted, objective financial advisors for consumers and institutions alike.

Individuals join NAPFA to enhance their own skills, market their services and be a part of a collective, influential voice on matters that affect them and their clients.

At NAPFA, it is all based on a simple, straightforward mission:

To promote the public interest through advancing the profession of comprehensive fee-only financial planning by:

Enhancing the skills of NAPFA members;
Emphasizing NAPFA members' roles as fiduciaries;
Educating the public about the financial planning process.

NAPFA Code of Ethics

Recognizing our fiduciary responsibility to clients and the public, NAPFA Members uphold the highest standards of care in the industry by espousing and practicing:

Objectivity
Complete Disclosure
Integrity and Honesty
Competence
Confidentiality
Fairness and Suitability
Professionalism, and
Regulatory Compliance.

NAPFA Fiduciary Oath

The advisor shall exercise his/her best efforts to act in good faith and in the best interests of the client. The advisor shall provide written disclosure to the client prior to the engagement of the advisor, and thereafter throughout the term of the engagement, of any conflicts of interest, which will or reasonably may compromise the impartiality or independence of the advisor. The advisor, or any party in which the advisor has a financial interest, does not receive any compensation or other remuneration that is contingent on any client's purchase or sale of a financial product. The advisor does not receive a fee or other compensation from another party based on the referral of a client or the client's business.

What the Fiduciary Oath means to you - the client:

I shall always act in good faith and with candor.
I shall be proactive in my disclosure of any conflicts of interest that may impact you.
I shall not accept any referral fees or compensation that is contingent upon the purchase or sale of a financial product.

Information provided on this web site is not guaranteed to be timely, accurate, or complete. The information is intended to help the client learn about services provided by Dempsey Investment Management LLC and is not intended to be used to solicit business. Opinions expressed are solely represented by Donald F. Dempsey, of Dempsey Investment Management LLC.

The information being provided is strictly as a courtesy. When you link to any websites provided here, you are leaving this website. We make no representation as to the completeness or accuracy of information provided at these websites. Nor is the company liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of third-party technologies, websites, information and programs made available through this website. When you access one of these websites, you are leaving our website and assume total responsibility and risk for your use of the websites you are linking to.

Dempsey Investment Management LLC is a Fee-Only investment advisory firm registered in the State of Vermont. Services represented in this web site are for prospective clients of the State of Vermont only and is not intended to be used as a solicitation for business to residents of any other state.