Thomas P. Marron
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.
Thomas Patrick Marron, who also goes by Thomas Marron, Tom Marron, Thomas Marron, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 11 firms and has passed the Series 66, Series 63, SIE, 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
February 22, 2017 - October 15, 2019
GENEOS WEALTH MANAGEMENT, INC.
February 21, 2017 - October 15, 2019
GENEOS WEALTH MANAGEMENT, INC.
August 12, 2004 - March 21, 2017
FORTA FINANCIAL GROUP, INC.
September 4, 1999 - March 21, 2017
FORTA FINANCIAL GROUP, INC.
June 30, 1994 - September 21, 1999
JOSEPH CHARLES & ASSOC., INC.
June 15, 1992 - July 5, 1994
JOSEPHTHAL & CO., INC.
July 3, 1991 - June 3, 1992
CHATFIELD DEAN & CO., INC.
July 30, 1990 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
November 9, 1989 - July 31, 1990
ROBERT TODD FINANCIAL CORP.
April 10, 1989 - November 8, 1989
MARSHALL DAVIS, INC.
September 13, 1988 - February 27, 1989
POWER SECURITIES CORPORATION
November 5, 1987 - November 8, 1989
MARSHALL DAVIS, INC.
November 17, 1986 - November 30, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
October 30, 1986 - November 18, 1986
H.J. MEYERS & CO., 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.
