Gregory D. Costa
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.
Gregory Dana Costa, who also goes by Greg D Costa, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1992. Gregory had worked at 10 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2013 - January 30, 2014
GENEOS WEALTH MANAGEMENT, INC.
February 25, 2010 - November 11, 2011
PURSHE KAPLAN STERLING INVESTMENTS
July 23, 2009 - May 21, 2014
VALENTINE CAPITAL ASSET MANAGEMENT, INC.
August 20, 2008 - February 2, 2010
SECURITIES AMERICA, INC.
October 11, 2006 - August 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 2006 - August 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 2005 - July 12, 2006
GENEOS WEALTH MANAGEMENT, INC.
January 2, 2003 - May 5, 2005
SECURITIES AMERICA, INC.
November 5, 2002 - January 2, 2003
BANCWEST INVESTMENT SERVICES, INC.
July 23, 1999 - May 16, 2002
VOYA INVESTMENTS DISTRIBUTOR, LLC
October 21, 1998 - June 14, 1999
WAMU INVESTMENTS, INC.
November 11, 1996 - October 5, 1998
MARKETING ONE SECURITIES, INC.
January 17, 1994 - November 20, 1996
WELLS FARGO SECURITIES INC.
July 23, 1992 - December 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
