Sydney L. Monte
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.
Sydney Lee Monte, who also goes by Sydney Lee Fallowes, was a registered financial professional .
Sydney is a previously registered financial professional and started their career in finance in 1982. Sydney had worked at 8 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2013 - November 19, 2013
GENEOS WEALTH MANAGEMENT, INC.
January 4, 2000 - October 7, 2011
WALNUT STREET SECURITIES, INC.
August 12, 1992 - December 31, 1999
INVESTORS BROKERAGE SERVICES, INC.
October 24, 1989 - August 19, 1992
PHILADELPHIA FINANCIAL ADVISORS, INC.
June 28, 1986 - January 1, 1989
CITISTREET EQUITIES LLC
September 9, 1985 - June 13, 1986
LINSCO FINANCIAL GROUP, INC.
November 7, 1984 - August 16, 1985
SELECTIVE SECURITY TRUST FINANCIAL CORP.
January 31, 1983 - March 1, 1985
FINANCIAL CONSULTANTS, INC.
March 11, 1982 - December 21, 1982
CITISTREET EQUITIES LLC
Primary Firm SEC Registration
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894 / SEC#: 801-62331, 8-65357
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894 / SEC#: 801-62331, 8-65357
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GWM HOLDINGS, INC | STOCKHOLDER | |
| BRUBAKER-RAGER, JODEE MAY | PRESIDENT & CHIEF COMPLIANCE OFFICER | 1888958 |
| DIACHOK, RUSSELL RHINE | DIRECTOR | 1049804 |
| DIACHOK, RYAN WESLEY | CEO | 4047236 |
| HELMS, JEFFREY WRIGHT | DIRECTOR | 1346620 |
| OLSON, RAYMOND COREY | CFO | 1527445 |
| RAGER, DEAN ALLEN | CHIEF OPERATING OFFICER & CHIEF ADVISORY COMPLIANCE OFFICER | 2852133 |
Regulatory assets under management
| Total Number of Accounts | 22,073 |
| AUM (Assets Under Management) | $ 5,597,034,535 |
Disclosures
| Regulatory Event | 6 |
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.
