William T. Toole
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.
William Timothy Toole, who also goes by Tim Toole, W. Timothy Toole, Wm Timothy Toole, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William 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
May 21, 2020 - August 31, 2020
GENEOS WEALTH MANAGEMENT, INC.
April 20, 2010 - June 12, 2018
NORTHSTAR SECURITIES, LLC
September 3, 2009 - October 27, 2009
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
January 2, 2009 - October 27, 2009
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
July 30, 2008 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
February 26, 2007 - July 18, 2008
ADVISORS ASSET MANAGEMENT, INC.
January 8, 2004 - January 24, 2007
HINES PRIVATE WEALTH SOLUTIONS LLC
September 27, 1996 - March 12, 2003
DWS DISTRIBUTORS, INC.
June 15, 1992 - January 29, 1996
WELLS FARGO CLEARING SERVICES, LLC
November 9, 1989 - June 20, 1990
INVESCO CAPITAL MARKETS, INC.
March 3, 1989 - June 13, 1989
CLAYTON BROWN & ASSOCIATES, 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.
