Mark W. Novkov
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.
Mark William Novkov was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1982. Mark had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2009 - June 30, 2015
GENEOS WEALTH MANAGEMENT, INC.
July 13, 2009 - June 30, 2015
GENEOS WEALTH MANAGEMENT, INC.
April 23, 2001 - July 15, 2009
MML INVESTORS SERVICES, LLC
March 15, 2001 - July 15, 2009
MML INVESTORS SERVICES, LLC
January 6, 1997 - March 23, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 6, 1997 - March 23, 2001
OSAIC FA, INC.
July 25, 1988 - January 4, 1997
THE ADVISORS GROUP, INC.
March 17, 1987 - July 25, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
January 16, 1986 - February 27, 1987
INLAND SECURITIES CORPORATION
April 22, 1983 - January 22, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
August 30, 1982 - April 18, 1983
EQUITY SERVICES, INC.
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.
