KT
Keith M. Todhunter-schaafsma
HEFFERNAN ADVISORY
Flagstaff, AZ 86001
Some features on this profile are disabled
CRD#: 2458357
KT
Professional summary
Keith Maclean Todhunter-schaafsma, CFP®, who also goes by Keith Maclean Todhunter, is a registered financial advisor currently at HEFFERNAN ADVISORY, INC. located in Flagstaff, Arizona and GENEOS WEALTH MANAGEMENT, INC. located in Flagstaff, Arizona.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Keith has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith Maclean Todhunter
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:WORKS UNDER ASCENDANT FINANCIAL SOLUTIONS BUSINESS LOCATED AT BRANCH LOCATION 2 )INDEPENDENT INSURANCE REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY. 3) COMMERCIAL REAL ESTATE. 4) SCHAAFSMA WEALTH MANAGEMENT-OWNER. 5) RIORDAN MILLS OWNERS ASSOCIATION-BOARD MEMBER. 6) HEFFERNAN INSURANCE BROKERS-EMPLOYEE.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Maclean Todhunter-schaafsma's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Maclean Todhunter-schaafsma'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®
CFP®
Start date: 1996
Experience
Current
February 21, 2003 - Present
HEFFERNAN ADVISORY, INC.
Office #1: 809 W. Riordan Suite 104, Flagstaff, AZ 86001RIA
CRD#: 116771
Flagstaff, AZ
Current
February 27, 2006 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 809 W Riordan Suite #104, Flagstaff, AZ 86001RIA
BD
CRD#: 120894
Flagstaff, AZ
Current
January 2, 2004 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 809 W Riordan Suite #104, Flagstaff, AZ 86001RIA
BD
CRD#: 120894
Flagstaff, AZ
Past
January 31, 1997 - December 31, 2003
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
March 29, 1996 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
March 14, 1994 - April 2, 1996
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
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
Alaska(1/24/2019)
IAR
Alaska(5/7/2024)
IAR
Arizona(2/21/2003)
RR
Arizona(1/2/2004)
RR
California(1/2/2004)
RR
Colorado(1/2/2004)
IAR
Maine(5/7/2024)
RR
Minnesota(9/27/2017)
IAR
Minnesota(5/7/2024)
RR
Montana(5/24/2023)
IAR
Montana(5/7/2024)
RR
New Mexico(1/2/2004)
IAR
New Mexico(5/8/2024)
RR
Oregon(7/15/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
