Bradley J. Tennison

Some features on this profile are disabled

CRD#: 1561988

Professional summary

Bradley Joseph Tennison was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bradley is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Bradley had worked at 7 firms, which includes GENEOS WEALTH MANAGEMENT INC., NRP FINANCIAL INC., FIRST ALLIED SECURITIES INC., TENNISON & ASSOC. INC., D.E. FREY & COMPANY INC., WELLS FARGO CLEARING SERVICES LLC, BOETTCHER & COMPANY INC..

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 9, 2006 - April 26, 2018

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

MESA, AZ

Past

August 15, 2005 - April 26, 2018

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

MESA, AZ

Past

March 24, 2004 - February 18, 2005

NRP FINANCIAL, INC.

RIA

CRD#: 103717

MESA, AZ

Past

March 24, 2004 - August 15, 2005

NRP FINANCIAL, INC.

CRD#: 103717

BRYAN, OH

Past

September 29, 2000 - April 14, 2004

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

October 31, 1995 - March 29, 2006

TENNISON & ASSOC. INC.

RIA

CRD#: 115434

MESA, AZ

Past

January 16, 1992 - October 25, 2000

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

September 4, 1990 - January 20, 1992

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 21, 1989 - September 4, 1990

BOETTCHER & COMPANY, INC.

CRD#: 101

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/20/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/8/1992

General Securities Principal Examination

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)

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)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Bradley J. Tennison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GENEOS WEALTH MANAGEMENT, INC.

NRP FINANCIAL, INC.

NRP FINANCIAL, INC.

FIRST ALLIED SECURITIES, INC.

TENNISON & ASSOC. INC.

D.E. FREY & COMPANY, INC.

WELLS FARGO CLEARING SERVICES, LLC

BOETTCHER & COMPANY, INC.

Primary Firm SEC Registration

GENEOS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/20/1993

Series 63

Date: 3/23/1989

SIE

Date: 4/26/2018

Series 7

Date: 3/18/1989

Series 24

Date: 5/8/1992

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

Similar Advisors