Dana P. Basballe
GENEOS WEALTH MANAGEMENT
Plainview, MN 55964
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CRD#: 2659753
Professional summary
Dana Paul Basballe, CFP® is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Plainview, Minnesota.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Dana has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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:INSPIRED RETIREMENT PLANNING LOCATED AT BRANCH LOCATION. 2) INDEPENDENT REP WITH VARIOUS INSURANCE COMPANIES FOR FIXED ONLY. 3) TOTAL HEALTH DBA THE FITNESS SHOPPE-SELL PRODUCTS. 4) PRESIDENT:AMG HOLDINGS INC. 5) PEACE UNITED CHURCH OF CHRIST-FINANCE COMMITTEE MEMBER. 6) MX FITNESS SUPPLY LLC-MEMBER. 7) SPRING VALLEY FIT EXPRESS LLC-MEMBER. 8) ACDB PROPERTIES LLC-MEMBER.
CRS (Client Relationship Summary) - RIA
Click below to view Dana Paul Basballe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dana Paul Basballe'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: 2008
Experience
Current
March 16, 2004 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 100 4th Ave Se Suite 2, Plainview, MN 55964Office #2: 3428 Lakeridge Place Nw Suite 120, Rochester, MN 55901RIA
BD
CRD#: 120894
Plainview, MN
Current
March 16, 2004 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 100 4th Ave Se Suite 2, Plainview, MN 55964Office #2: 3428 Lakeridge Place Nw Suite 120, Rochester, MN 55901RIA
BD
CRD#: 120894
Plainview, MN
Past
December 4, 2003 - March 19, 2004
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
PLAINVIEW, MN
Past
October 3, 2003 - March 19, 2004
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past
August 3, 2001 - October 10, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
June 13, 1997 - August 3, 2001
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
September 13, 1996 - June 2, 1997
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
October 17, 1995 - July 29, 1996
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
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
Arizona(7/10/2019)
RR
California(10/7/2016)
RR
Colorado(3/16/2004)
RR
Florida(2/3/2011)
RR
Illinois(10/5/2016)
RR
Indiana(6/6/2025)
RR
Iowa(5/21/2014)
RR
Kansas(5/28/2025)
RR
Minnesota(3/16/2004)
IAR
Minnesota(11/4/2013)
RR
Nebraska(10/22/2019)
RR
Nevada(1/25/2024)
RR
New Mexico(11/11/2010)
RR
North Carolina(5/3/2017)
RR
South Dakota(10/5/2016)
RR
Texas(8/10/2016)
RR
Virginia(12/2/2024)
RR
Washington(5/28/2025)
RR
Wisconsin(3/16/2004)
Exams
State Security Law Exam
State Security Law 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#: 120894Plainview, MN 55964TRUST BUT VERIFY
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