SS
Stephen G. Shipp
GENEOS WEALTH MANAGEMENT
San Mateo, CA
Some features on this profile are disabled
CRD#: 1937641
SS
Professional summary
Stephen Guy Shipp JR, who also goes by Stephen Guy Jr Shipp, Steve Guy Shipp Jr, Steve Shipp, is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in San Mateo, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Guy Jr Shipp | Steve Guy Shipp Jr | Steve Shipp
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)STEVE SHIPP; BOOK ROYALTIES; RECEIVE BOOK ROYALTIES FROM TWO PUBLISHERS FOR BOOKS WRITTEN BY MY DECEASED FATHER; NON INVESTMENT-RELATED; START DATE 2/1/2008; 0 HOURS PER MONTH; NO DUTIES OR RESPONSIBILITIES.
2)STEVE SHIPP AND HELEN SHIPP - RENTAL PROPERTY OWNER. 3)STEVE SHIPP CONSULTING SERVICES-OWNER.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Guy Shipp JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Guy Shipp JR'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
September 13, 2017 - Present
GENEOS WEALTH MANAGEMENT, INC.
RIA
BD
CRD#: 120894
San Mateo, CA
Current
September 13, 2017 - Present
GENEOS WEALTH MANAGEMENT, INC.
RIA
BD
CRD#: 120894
San Mateo, CA
Past
June 5, 2008 - June 2, 2016
FOOTHILL SECURITIES, INC.
RIA
CRD#: 1027
HALF MOON BAY, CA
Past
June 4, 2008 - June 2, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
HALF MOON BAY, CA
Past
December 13, 2007 - June 4, 2008
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
SAN RAMON, CA
Past
December 13, 2007 - June 4, 2008
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
SAN RAMON, CA
Past
December 9, 2005 - December 7, 2007
CUE FINANCIAL GROUP, INC.
RIA
CRD#: 21033
SAUSALITO, CA
Past
December 9, 2005 - December 7, 2007
CUE FINANCIAL GROUP, INC.
BD
CRD#: 21033
SAUSALITO, CA
Past
August 16, 2005 - December 5, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
June 4, 2001 - August 12, 2005
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
PLEASANT HILL, CA
Past
December 5, 2000 - August 12, 2005
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
October 1, 1996 - October 11, 2000
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
January 22, 1996 - October 14, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
March 14, 1990 - December 22, 1995
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CARPINTERIA, CA
Past
May 23, 1989 - June 21, 1989
FIRST EAGLE, INC.
BD
CRD#: 16509
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
California(9/13/2017)
IAR
California(9/13/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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.
