James H. Dees

GENESIS INVESTMENTS

Ooltewah, TN 37363

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CRD#: 6390237

Professional summary

James Hunter Dees is a registered financial advisor currently at GENESIS INVESTMENTS located in Ooltewah, Tennessee.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. James has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Hunter Dees is a licensed insurance agent with Genesis Insurance Advisors, LLC ("Genesis Insurance Advisors").

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Hunter Dees's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 13, 2020 - Present

GENESIS INVESTMENTS

Office #1: 9448 Bradmore Ln Ste 212, Ooltewah, TN 37363

RIA

CRD#: 310878

Ooltewah, TN

Past

January 2, 2015 - October 13, 2020

EDWARD JONES

RIA

CRD#: 250

OOLTEWAH, TN

Past

October 20, 2014 - October 13, 2020

EDWARD JONES

CRD#: 250

OOLTEWAH, TN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GENESIS INVESTMENTS

GENESIS INVESTMENT ADVISORS, LLC | GENESIS INVESTMENTS

CRD#: 310878 / SEC#: 801-134325

RIA

Registered Investment Advisory firm - (9/11/2025 Approved)

Georgia

Registered Investment Advisory firm - (9/23/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (9/16/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(5/25/2023)

IAR

Tennessee
(10/13/2020)

IAR

Texas
(3/6/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/8/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/2014

General Securities Representative Examination

Current Firm

GENESIS INVESTMENTS

GENESIS INVESTMENT ADVISORS, LLC | GENESIS INVESTMENTS

CRD#: 310878 / SEC#: 801-134325

RIA

Registered Investment Advisory firm - (9/11/2025 Approved)

Georgia

Registered Investment Advisory firm - (9/23/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (9/16/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2025 Terminated)

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Contact information

Main Address

9448 Bradmore Ln Ste 212, Ooltewah, TN 37363

Mailing Address

Phone number

(423) 290-2619

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: GENESIS INVESTMENTS FIRM BROCHURE (9/23/2025)

Regulatory assets under management

Total Number of Accounts	723
AUM (Assets Under Management)	$ 102,634,400

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/07/2024	Cover Page	Report
01/11/2024	Cover Page	Report
01/04/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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James H. Dees

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Hunter Dees's CRS (Customer Relationship Summary).

Certified licenses

Experience

GENESIS INVESTMENTS

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

GENESIS INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2014

SIE

Date: 10/1/2018

Series 7

Date: 10/20/2014

Current Firm

GENESIS INVESTMENTS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GENESIS INVESTMENTS

TRUST BUT VERIFY

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