Dennis Wayne Giese

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2010 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 11/2010 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfiedl, IA

Previous Registrations

• 2009-06-04 → 2010-11-01
  Spc
  Shorewood, IL
• 2006-02-02 → 2008-12-31
  Woodbury Financial Services, Inc.
  Shorewood, IL
  Naperville, IL

Other Businesses

1) GIESE FINANCIAL GROUP DBA; DENNIS GIESE OWNER STARTED 12/2000 10 HOURS PER WEEK SALE OF VARIOUS LINES OF INSURANCE THROUGH VARIOUS INSURANCE COMPANIES. 2) FLORIDA CONDO 450 CERROMAR RD UNIT 284 VENICE, FL 34293 OWNER SINCE 06/11/2003 NON INVESTMENT RELATED 15 HOURS MONTHLY NON TRADING TIME RENTAL CONDO . 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 80 HR/MO TRADING 02/07/2012

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-01-26
• S63 Uniform Securities Agent State Law Examination
  1991-08-28