DS
David L. Stevens
GENEOS WEALTH MANAGEMENT
Lone Tree, CO 80112
Some features on this profile are disabled
CRD#: 1444819
DS
Professional summary
David Lee Stevens, CFP®, who also goes by Dave Stevens, is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Lone Tree, Colorado and A & I WEALTH MANAGEMENT located in Lone Tree, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Estate Planning
Retirement Planning
Investment Planning
Insurance Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
Dave Stevens
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) WILL WORK UNDER RIA DBA A&I FINANCIAL SERVICES LLC DBA A&I WEALTH MANAGEMENT - IAR, AN INVESTMENT RELATED BUSINESS LOCATED AT BRANCH LOCATION. 2) INDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY. 3) TRUSTEE AND CO-TRUSTEE FOR SEVERAL IMMEDIATE FAMILY MEMBERS. 4) TWEEDY FAMILY IRREVOCABLE TRUST-TRUSTEE. 5) DAVID L STEVENS AND ASSOC INC-HOLDING CO.
CRS (Client Relationship Summary) - RIA
Click below to view David Lee Stevens's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Lee Stevens'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: 1992
Experience
Current
April 1, 2008 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 9605 Kingston Court Suite 190, Lone Tree, CO 80112RIA
BD
CRD#: 120894
Lone Tree, CO
Current
January 22, 2019 - Present
A & I WEALTH MANAGEMENT
Office #1: 9605 Kingston Court Suite 190, Lone Tree, CO 80112RIA
CRD#: 148357
LONE TREE, CO
Current
April 1, 2008 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 9605 Kingston Court Suite 190, Lone Tree, CO 80112RIA
BD
CRD#: 120894
Lone Tree, CO
Past
February 2, 1999 - February 28, 2019
IRONGATE FINANCIAL SERVICES, INC.
RIA
CRD#: 113378
ENGLEWOOD, CO
Past
January 1, 1999 - April 24, 2008
OSAIC WEALTH, INC.
RIA
CRD#: 23131
ENGLEWOOD, CO
Past
January 30, 1994 - April 24, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
ENGLEWOOD, CO
Past
July 31, 1992 - January 18, 1994
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
February 14, 1989 - August 31, 1992
LEWIS & CLARK SECURITIES, INC.
BD
CRD#: 22687
TAMPA, FL
Past
December 23, 1988 - January 19, 1989
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
KANSAS CITY, MO
Past
October 11, 1988 - December 23, 1988
MORISON SECURITIES, INC.
BD
CRD#: 8097
KANSAS CITY, MO
Past
January 22, 1986 - October 24, 1988
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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(4/1/2008)
RR
Florida(4/1/2008)
RR
Michigan(1/23/2014)
RR
Nebraska(4/1/2008)
RR
New Mexico(7/2/2018)
RR
North Carolina(9/2/2022)
RR
Washington(9/25/2025)
Exams
State Security Law Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
