Michael J. Stefano
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.
Michael Joseph Stefano, who also goes by Royal W Strobel, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1992. Michael had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 27, Series 4, Series 53 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
February 23, 2009 - September 4, 2009
GENEOS WEALTH MANAGEMENT, INC.
February 23, 2009 - September 4, 2009
GENEOS WEALTH MANAGEMENT, INC.
September 24, 2007 - April 28, 2008
GENEOS WEALTH MANAGEMENT, INC.
August 1, 2007 - May 30, 2008
GENEOS WEALTH MANAGEMENT, INC.
April 13, 2006 - May 10, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
April 13, 2006 - May 10, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
September 3, 2004 - December 31, 2005
GENEOS WEALTH MANAGEMENT, INC.
September 3, 2004 - December 31, 2005
GENEOS WEALTH MANAGEMENT, INC.
February 25, 2004 - August 2, 2004
SECURITIES AMERICA ADVISORS, INC.
July 28, 1998 - August 3, 2004
SECURITIES AMERICA, INC.
April 22, 1996 - July 7, 1998
D.E. FREY & COMPANY, INC.
March 22, 1994 - April 25, 1996
CETERA ADVISORS LLC
February 27, 1992 - March 18, 1994
CHATFIELD DEAN & CO., 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.
