Lawrence R. Garrett
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.
Lawrence Richard Garrett, who also goes by Larry Garrett, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1973. Lawrence had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 51 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
April 5, 2006 - May 1, 2017
GENEOS WEALTH MANAGEMENT, INC.
March 31, 2006 - May 1, 2017
GENEOS WEALTH MANAGEMENT, INC.
September 25, 2002 - April 5, 2006
CETERA WEALTH SERVICES, LLC
August 28, 2002 - September 24, 2002
TITAN ASSET MANAGEMENT, LLC
December 31, 2001 - August 28, 2002
CETERA WEALTH SERVICES, LLC
February 12, 1991 - April 5, 2006
CETERA WEALTH SERVICES, LLC
March 6, 1986 - February 21, 1991
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 15, 1973 - February 12, 1986
HI SECURITIES, 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
Series 1
Date: 1/10/1973
Registered Representative ExaminationCurrent 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.
