RD
CFP
RD
CFP
Reginald Dees is a CFP-designated registered investment advisor, based in Charlotte, NC, with 40 years of industry experience.
Location
6135 Park South Dr, Ste 510, Charlotte, NC, 28210
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Regulatory History (2)
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Customer Dispute
July 2019Denied
Customer Dispute
July 1996Settled
Other Business ActivitiesSells Insurance
Reginald is an independent insurance agent for various independent insurance companies. He also works as a consultant/facilitator for Focus Four, Inc., dedicating minimal time, and as an advisory representative of a RIA at CIRA, taking nearly full-time hours.
Employment History
Current Registrations
Cambridge Investment Research, INC.
August 2013 - Present · 12 yrs 9 mos
Cambridge Investment Research Advisors, INC.
August 2013 - Present · 12 yrs 9 mos
Cambridge Investment Research, INC.Broker
August 2013 - Present · 12 yrs 9 mos
Previous Registrations
Geneos Wealth Management, INC.
April 2006 - August 2013 · 7 yrs 4 mos
Geneos Wealth Management, INC.Broker
April 2006 - August 2013 · 7 yrs 4 mos
Financial Network Investment Corporation
September 2002 - April 2006 · 3 yrs 7 mos
Titan Asset Management, LLC
September 2002 - September 2002 · 0 mos
Financial Network Investment Corporation
December 2001 - August 2002 · 8 mos
Financial Network Investment CorporationBroker
September 1990 - April 2006 · 15 yrs 7 mos
Royal Alliance Associates, INC.Broker
November 1989 - September 1990 · 10 mos
Integrated Resources Equity CorporationBroker
February 1989 - November 1989 · 9 mos
American Express Financial Advisors INC.Broker
August 1985 - February 1989 · 3 yrs 6 mos
Ids Financial Services INC.Broker
August 1985 - December 1986 · 1 yr 4 mos
State Registrations2 states
NCSC
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.