James E. Warren
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.
James Edward Warren JR., CFP®, who also goes by James Edward Warren, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 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
Start date: 1993
Experience
September 1, 2009 - December 31, 2024
GENEOS WEALTH MANAGEMENT, INC.
September 1, 2009 - December 31, 2024
GENEOS WEALTH MANAGEMENT, INC.
November 17, 1999 - September 1, 2009
OSAIC WEALTH, INC.
February 29, 1996 - October 30, 2015
COMPASS WEALTH MANAGEMENT, INC.
November 19, 1989 - September 1, 2009
OSAIC WEALTH, INC.
October 22, 1984 - June 26, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 22, 1984 - June 26, 1990
OSAIC FA, INC.
July 6, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 21, 1983 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
February 9, 1983 - April 18, 1983
CADARET, GRANT & CO., INC.
October 5, 1982 - July 8, 1983
MONARCH SECURITIES, 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.
