Wesley A. Coleman
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.
Wesley Alan Coleman was a registered financial advisor .
Wesley is a previously registered financial advisor and started their career in finance in 1993. Wesley had worked at 8 firms and has passed the Series 63, Series 7, Series 6, Series 24 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
July 18, 2008 - July 6, 2010
GENEOS WEALTH MANAGEMENT, INC.
June 23, 2008 - July 6, 2010
GENEOS WEALTH MANAGEMENT, INC.
October 25, 2005 - July 5, 2006
GENEOS WEALTH MANAGEMENT, INC.
October 12, 2005 - July 5, 2006
GENEOS WEALTH MANAGEMENT, INC.
July 30, 2004 - October 20, 2005
TOWER SQUARE SECURITIES, INC.
June 25, 2002 - December 1, 2003
GENEOS WEALTH MANAGEMENT, INC.
August 8, 2001 - April 11, 2002
PRUCO SECURITIES, LLC.
October 12, 1999 - June 28, 2001
ING INSURANCE AGENCY, INC.
February 2, 1998 - May 28, 1999
CETERA ADVISORS LLC
January 30, 1997 - January 14, 1998
SLD AMERICA EQUITIES, INC.
April 12, 1994 - January 21, 1997
CETERA ADVISORS LLC
October 21, 1993 - February 22, 1994
SENTRY EQUITY SERVICES, INC.
February 2, 1993 - August 27, 1993
WADDELL & REED
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.
