Alan D. Schmidgall

GENEOS WEALTH MANAGEMENT

Scottsdale, AZ 85260

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CRD#: 1384131

Professional summary

Alan Dean Schmidgall is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Scottsdale, Arizona.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Alan has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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:SCHOONER FINANCIAL ASSOCIATES BUSINESS LOCATED AT BRANCH LOCATION. 2)INDENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY. 3)50% OWNER OF AB INVESTMENT CAPITAL LLC, A NON-INVESTMENT BUSINESS FOR REAL ESTATE HOLDINGS- 1 TO 2 HOURS PER WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Dean Schmidgall's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Alan Dean Schmidgall's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 22, 2005 - Present

GENEOS WEALTH MANAGEMENT, INC.

Office #1: 9917 E Bell Road Suite #110, Scottsdale, AZ 85260

RIA

CRD#: 120894

Scottsdale, AZ

Current

January 4, 2005 - Present

GENEOS WEALTH MANAGEMENT, INC.

Office #1: 9917 E Bell Road Suite #110, Scottsdale, AZ 85260

RIA

CRD#: 120894

Scottsdale, AZ

Past

May 27, 1999 - December 31, 2010

SCHOONER FINANCIAL ASSOCIATES

RIA

CRD#: 113973

SCOTTSDALE, AZ

Past

October 5, 1993 - December 31, 1994

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

August 13, 1993 - December 17, 2004

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 9, 1985 - August 10, 1993

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

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)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(1/4/2005)

IAR

Arizona
(2/22/2005)

California
(1/4/2005)

Florida
(1/4/2005)

IAR

Hawaii
(1/22/2025)

Idaho
(6/19/2008)

Illinois
(1/4/2005)

Indiana
(1/4/2005)

Iowa
(1/4/2005)

Kansas
(1/4/2005)

Massachusetts
(1/24/2023)

Michigan
(11/15/2019)

Minnesota
(1/4/2005)

Missouri
(1/4/2005)

Montana
(1/4/2005)

Nevada
(1/4/2005)

New Hampshire
(1/4/2005)

New Mexico
(6/18/2008)

Oregon
(1/4/2005)

South Dakota
(1/4/2005)

Texas
(1/4/2005)

Utah
(6/19/2008)

Virginia
(1/4/2005)

Washington
(1/4/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/3/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR DISCLOSURE BROCHURE (3/14/2025)

VIP ULTRA WRAP FEE DISCLOSURE BROCHURE (3/14/2025)

AXIOM WRAP FEE DISCLOSURE BROCHURE (3/14/2025)

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

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.

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Alan D. Schmidgall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Dean Schmidgall's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Alan Dean Schmidgall's CRS (Customer Relationship Summary).

Certified licenses

Experience

GENEOS WEALTH MANAGEMENT, INC.

SCHOONER FINANCIAL ASSOCIATES

WOODBURY FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

GENEOS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1995

Series 63

Date: 7/10/1985

SIE

Date: 10/1/2018

Series 7

Date: 8/10/1994

Series 6

Date: 7/3/1985

Series 24

Date: 6/27/1998

FINRA

Current Firm

GENEOS WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GENEOS WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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