LS
Lois R. Stouffer
GENEOS WEALTH MANAGEMENT
Santa Fe, NM 87505
Some features on this profile are disabled
CRD#: 1606996
LS
Professional summary
Lois Rebecca Stouffer, who also goes by Lois Roidt, is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Santa Fe, New Mexico.
Lois is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Lois has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lois Roidt
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:CHALICE ASSET MANAGEMENT LLC BUSINESS LOCATED AT BRANCH LOCATION. 2)INDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY. 3)TAX PREP AND TAX ESTIMATES. 4)ARTIST. 5)RENTAL INCOME.
CRS (Client Relationship Summary) - RIA
Click below to view Lois Rebecca Stouffer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lois Rebecca Stouffer'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®
NoneExperience
Current
May 5, 2005 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 2019 E-3 Galisteo St, Santa Fe, NM 87505RIA
BD
CRD#: 120894
Santa Fe, NM
Current
May 2, 2005 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 2019 E-3 Galisteo St, Santa Fe, NM 87505RIA
BD
CRD#: 120894
Santa Fe, NM
Past
January 5, 2004 - May 3, 2005
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
SANTA FE, NM
Past
October 31, 2002 - December 31, 2003
CORLESS & ASSOCIATES, LLC
RIA
CRD#: 114940
SANTA FE, NM
Past
May 6, 1996 - May 3, 2005
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
February 26, 1987 - May 11, 1996
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
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
Arizona(5/2/2005)
RR
California(5/2/2005)
RR
Colorado(5/2/2005)
RR
District of Columbia(7/5/2018)
RR
Florida(8/7/2024)
RR
Louisiana(12/21/2018)
RR
Maine(10/6/2020)
RR
Nevada(1/3/2008)
RR
New Mexico(5/2/2005)
IAR
New Mexico(5/5/2005)
RR
New York(1/17/2017)
IAR
North Carolina(1/9/2025)
RR
Oregon(7/12/2022)
RR
Pennsylvania(1/23/2024)
RR
South Dakota(8/10/2016)
RR
Texas(5/2/2005)
IAR
Texas(9/19/2013)
RR
Washington(1/17/2024)
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.
Company Information
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894Santa Fe, NM 87505TRUST BUT VERIFY
Monitor Lois Stouffer
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
