AC
Andrea P. Carpenter
GENEOS WEALTH MANAGEMENT
Knoxville, TN 37923
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CRD#: 2279360
AC
Professional summary
Andrea Patricia Carpenter, ChFC®, CLU®, who also goes by Andrea P Dye, is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Knoxville, Tennessee.
Andrea is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Andrea has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrea P Dye
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) DBA:PROSPERITY PARTNERS WEALTH MANAGEMENT LLC business located at branch location. 2) Independent Rep with various carriers for FIXED INSURANCE BUSINESS. 3) ASSOCIATION OF FINANCIAL EDUCATORS-EDUCATOR.
CRS (Client Relationship Summary) - RIA
Click below to view Andrea Patricia Carpenter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrea Patricia Carpenter'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®
Experience
Current
January 12, 2021 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 306 Prosperity Road Suite 101, Knoxville, TN 37923RIA
BD
CRD#: 120894
Knoxville, TN
Current
January 7, 2021 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 306 Prosperity Road Suite 101, Knoxville, TN 37923RIA
BD
CRD#: 120894
Knoxville, TN
Past
September 28, 2012 - January 8, 2021
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
KNOXVILLE, TN
Past
September 28, 2012 - January 8, 2021
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
KNOXVILLE, TN
Past
November 20, 2006 - September 28, 2012
GWN SECURITIES INC.
RIA
CRD#: 128929
MARYVILLE, TN
Past
November 20, 2006 - September 28, 2012
GWN SECURITIES INC.
BD
CRD#: 128929
MARYVILLE, TN
Past
June 30, 2005 - November 24, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
ALCOA, TN
Past
May 23, 2005 - November 24, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
ALCOA, TN
Past
July 11, 2003 - June 2, 2005
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
December 10, 2001 - July 16, 2003
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
May 25, 2001 - November 16, 2001
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
March 29, 1999 - May 9, 2001
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
FRANKLIN, TN
Past
October 30, 1992 - April 8, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Alabama(1/7/2021)
RR
Arizona(1/7/2021)
RR
Georgia(1/7/2021)
RR
Kentucky(1/7/2021)
RR
South Carolina(1/7/2021)
RR
Tennessee(1/7/2021)
IAR
Tennessee(1/12/2021)
RR
Virginia(1/7/2021)
RR
Washington(10/24/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894Knoxville, TN 37923TRUST BUT VERIFY
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