RD

Rigdon O. Dees

Some features on this profile are disabled
CRD#: 6489018
RD

Professional summary


Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rigdon Osmond Dees III, who also goes by Rick Dees, Rig Dees, Rigdon Osmond Dees, was a registered financial professional .

Rigdon is a previously registered financial professional and started their career in finance in 2015. Rigdon had worked at 2 firms and has passed the Series 65 exam.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Rick Dees | Rig Dees | Rigdon Osmond Dees

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.
The advisor shows no other business activity.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

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


Past

November 8, 2018 - October 26, 2020

DAINTREE ADVISORS LLC

RIA
CRD#: 153197
Toluca Lake, CA
Past

May 21, 2015 - May 11, 2017

NAVIN ADVISORS, LLC

RIA
CRD#: 162928
LEXINGTON, KY

State Registrations and Notice Filings


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

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam

Current Firm


DA
DAINTREE ADVISORS LLC
BLUE HERON ADVISORS LLC | DAINTREE DIVORCE CONSULTING | DAINTREE ADVISORS LLC

CRD#: 153197 / SEC#: 801-71166

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Contact information


Main Address
100 High Street Suite 1110, Boston, MA 02110-1781
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Red Flags


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

Company Information


DAINTREE ADVISORS LLC

CRD#: 153197

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