David W. Browning
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.
David William Browning was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2013 - December 8, 2022
GENEOS WEALTH MANAGEMENT, INC.
March 29, 2011 - October 3, 2011
MERCER GLOBAL ADVISORS INC.
August 25, 2010 - November 9, 2010
GIRARD SECURITIES, INC.
August 19, 2010 - November 9, 2010
GIRARD SECURITIES, INC.
September 1, 2009 - January 7, 2010
CETERA ADVISORS LLC
September 1, 2009 - January 7, 2010
CETERA ADVISORS LLC
April 1, 2008 - July 23, 2009
CAPITAL BROKERAGE CORPORATION
March 16, 2005 - July 23, 2009
ASSETMARK, INC.
January 25, 2002 - April 1, 2008
ASSETMARK CAPITAL CORPORATION
December 8, 1999 - July 6, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 9, 1999 - August 20, 1999
NATIXIS DISTRIBUTION, LLC
February 21, 1996 - November 20, 1998
ICON DISTRIBUTORS, INC.
May 14, 1987 - September 20, 1995
JONES INTERNATIONAL SECURITIES, LTD.
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.
