Michael A. Wall
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.
Michael Allen Wall, CFP®, who also goes by Michael Allan Wall, Mike Wall, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2004 - January 5, 2024
GENEOS WEALTH MANAGEMENT, INC.
April 23, 2004 - January 4, 2024
GENEOS WEALTH MANAGEMENT, INC.
July 3, 2003 - April 28, 2004
UNITED SECURITIES ALLIANCE, INC.
June 27, 2003 - April 28, 2004
UNITED SECURITIES ALLIANCE, INC.
September 5, 2001 - June 27, 2003
CETERA ADVISORS LLC
August 21, 1997 - June 27, 2003
CETERA ADVISORS LLC
March 18, 1994 - August 27, 1997
FFP SECURITIES, INC.
March 31, 1993 - March 22, 1994
QA3 FINANCIAL CORP.
April 23, 1990 - April 7, 1993
VSR FINANCIAL SERVICES, INC.
February 10, 1989 - April 23, 1990
AMERITAS INVESTMENT COMPANY, LLC
June 23, 1988 - February 7, 1989
VSR FINANCIAL SERVICES, INC.
January 16, 1987 - July 11, 1988
B.C. CHRISTOPHER SECURITIES CO.
September 12, 1986 - April 7, 1993
VSR FINANCIAL SERVICES, INC.
March 18, 1986 - October 23, 1986
B.C. CHRISTOPHER SECURITIES CO.
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.
