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Cindy M. Hegy
GENEOS WEALTH MANAGEMENT
Greenwood Village, CO 80111
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CRD#: 1100309
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Professional summary
Cindy Marker Hegy, CFP®, who also goes by Cindy Sue Marker, is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Greenwood Village, Colorado.
Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Cindy has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cindy Sue Marker
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.
1)DBA: WILL WORK UNDER G5 FINANCIAL GROUP BUSINESS LOCATED AT BRANCH LOCATION. 2)RENTAL PROPERTY INCOME. 3)INDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED INSURANCE BUSINESS ONLY.
CRS (Client Relationship Summary) - RIA
Click below to view Cindy Marker Hegy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cindy Marker Hegy's 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®
CFP®
Start date: 1980
Experience
Current
March 7, 2012 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 5251 Dtc Parkway Suite 1001, Greenwood Village, CO 80111RIA
BD
CRD#: 120894
Greenwood Village, CO
Current
April 1, 2008 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 5251 Dtc Parkway Suite 1001, Greenwood Village, CO 80111RIA
BD
CRD#: 120894
Greenwood Village, CO
Past
April 30, 2012 - December 21, 2017
G5 FINANCIAL GROUP RIA, LLC
RIA
CRD#: 157344
GREENWOOD VILLAGE, CO
Past
October 30, 2008 - May 29, 2020
FINANCIAL DESIGN & MANAGEMENT, INC.
RIA
CRD#: 113387
FORT COLLINS, CO
Past
January 1, 1999 - September 6, 2011
ADRIAN & ASSOCIATES INC
RIA
CRD#: 107307
GREENWOOD VILLAGE, CO
Past
April 9, 1996 - April 25, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
GREENWOOD VILLAGE, CO
Past
January 11, 1990 - April 11, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
November 15, 1986 - June 1, 1988
COOPERATIVE FINANCIAL PLANNERS, LTD.
BD
CRD#: 16891
Past
May 7, 1985 - January 15, 1990
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
October 22, 1984 - April 15, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
October 19, 1983 - July 20, 1984
BOETTCHER & COMPANY, INC.
BD
CRD#: 101
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".
GW
GENEOS WEALTH MANAGEMENT, INC.
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894 / SEC#: 801-62331, 8-65357
RIA
Registered Investment Advisory firm - SEC (8/20/2003 Approved)Arizona
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)California
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/11/2003 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/20/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Texas
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(4/1/2008)
IAR
Colorado(3/7/2012)
RR
Nebraska(12/8/2009)
RR
North Carolina(8/21/2019)
RR
Utah(1/18/2013)
RR
Washington(4/1/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GENEOS WEALTH MANAGEMENT, INC.
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894 / SEC#: 801-62331, 8-65357
RIA
Registered Investment Advisory firm - SEC (8/20/2003 Approved)Arizona
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)California
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/11/2003 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/20/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Texas
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
9635 Maroon Circle Suite 100, Englewood, CO 80112
Mailing Address
9635 Maroon Circle Suite 100, Englewood, CO 80112
Phone number
(303) 785-8470
Established
Colorado since 04/12/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
200
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.
