Pasawan K. Hernandez
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.
Pasawan Kiatnimitra Hernandez, CFP®, who also goes by Emmy Hernandez, was a registered financial professional .
Pasawan is a previously registered financial professional and started their career in finance in 1993. Pasawan had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
Start date: 1998
Experience
June 5, 2023 - November 3, 2025
GENEOS WEALTH MANAGEMENT, INC.
June 5, 2023 - November 3, 2025
GENEOS WEALTH MANAGEMENT, INC.
October 25, 2017 - June 13, 2023
OSAIC SERVICES, INC.
October 25, 2017 - June 13, 2023
OSAIC SERVICES, INC.
August 8, 2016 - October 20, 2017
TRILOGY CAPITAL, INC.
July 14, 2005 - October 27, 2017
NATIONAL PLANNING CORPORATION
July 13, 2005 - October 27, 2017
NATIONAL PLANNING CORPORATION
April 1, 1997 - July 18, 2005
SUNAMERICA SECURITIES, INC.
April 20, 1994 - March 24, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 9, 1993 - January 12, 1994
SUNAMERICA 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
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.
