Susan M. Huffman
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.
Susan Marie Huffman, who also goes by Susan Coyle, Susan Marie Greer, Susan Greer Huffman, Susan Marie Greer Huffman, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1983. Susan had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 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 16, 2013 - December 31, 2014
GENEOS WEALTH MANAGEMENT, INC.
June 4, 2009 - December 3, 2010
A & I WEALTH MANAGEMENT
July 7, 2004 - July 21, 2011
GENEOS WEALTH MANAGEMENT, INC.
July 7, 2004 - December 31, 2014
GENEOS WEALTH MANAGEMENT, INC.
November 14, 1989 - July 8, 2004
FSC SECURITIES CORPORATION
December 22, 1987 - July 8, 2004
FSC SECURITIES CORPORATION
June 25, 1986 - March 11, 1988
B.C. CHRISTOPHER SECURITIES CO.
February 19, 1985 - July 17, 1986
WALL STREET WEST, INC.
April 20, 1983 - March 11, 1985
B. J. LEONARD AND COMPANY, 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.
