Reginald Brent Dees

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

• 10/2003 → Present
  Brent Dees Financial Planning
  Fayetteville, NC
• 08/2013 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 08/2013 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA
• 05/2004 → Present
  Focus Four, Inc.
  Charlotte, NC

Previous Registrations

• 2006-04-10 → 2013-08-06
  Geneos Wealth Management, Inc.
  Charlotte, NC
  Fayetteville, NC
  Englewood, CO
• 2001-12-31 → 2006-04-07
  Cetera Wealth Services, Llc
  Fayetteville, NC
  Charlotte, NC
• 2002-09-03 → 2002-09-24
  Titan Asset Management, Llc
  Charlotte, NC

Other Businesses

1) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) FOCUS FOUR, INC., 6135 PARK SOUTH DRIVE, SUITE 510, CHARLOTTE, NC 28210 ; BEGAN 05/24/2004 ; AS CONSULTANT/FACILITATOR ; BEGAN 05/24/2004 ; NOT INVESTMENT RELATED ; DEVOTES 100 HRS/YR ; 90 DURING TRADING HOURS. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 08/01/2013

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-11-09
• S63 Uniform Securities Agent State Law Examination
  1985-07-18

Designations

• Certified Financial Planner