Dennis Giese, financial advisor Shorewood IL
73 score

Dennis Giese

CRD Number: 1052519
Current Firm: Cambridge Investment Research Advisors, Inc.

Dennis Giese (CRD# 1052519) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Shorewood, IL and has over 25 years of experience in the finance industry.

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Company Name Location Dates Years
Cambridge Investment Research, Inc. Fairfield, IA Nov 2010 - Current 6
Cambridge Investment Research Advisors, Inc. Fairfiedl, IA Nov 2010 - Current 6
Spc Ann Arbor, MI Jun 2009 - Nov 2010 1
Sammons Securities Company LLC Ann Arbor, MI Jan 2009 - Nov 2010 1
Woodbury Financial Naperville, IL Aug 2004 - Dec 2008 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1991
S65 NASAA Investment Advisors Law Examination Jan 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Dennis W. Giese
Phone Number: 641-472-5100
Firm Website: http://www.cir2.com
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    25,187
    MILLIONS
  • Total Number of Accounts
    152,412
    ACCOUNTS
  • Average Account Value
    $165,257
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Market timing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
73

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