YS
Yvonne R. Smith
GENEOS WEALTH MANAGEMENT
Orchard Park, NY 14127
Some features on this profile are disabled
CRD#: 2716839
YS
Professional summary
Yvonne Renee Smith, who also goes by Yvonne Miller, Yvonne Smith, Yvonne Renee Vandermolen, is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Orchard Park, New York.
Yvonne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Yvonne has worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yvonne Miller | Yvonne Smith | Yvonne Renee Vandermolen
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: AUTUMN WEALTH MANAGEMENT - non-investment related business located at branch location - 40 hours weekly. 2) Independent Rep with various insurance carriers for FIXED INSURANCE SALES. - 1-2 hours monthly 3) YVONNE R. SMITH - Investment Related: No Address: 50 Green Hill Rd. Bellingham WA 98229 Nature of Business: Real Estate; RENTAL PROPERTY - Relationship: Owner Start Date: 9/1/2001 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Collect rent, hire contractors to make repairs when necessary. 4) Business Name: JOYCE H. SMITH TRUST - Investment Related: No Address: Rocky Bar Rd, Fair play CA 95684 Nature of Business: Trustee Position 5) NOTARY PUBLIC - Start Date: 10/13/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Affixing Notary Public stamp to documents that require it, upon clients providing proof of identity . 6) MEDICARE REFERRAL FEES.
CRS (Client Relationship Summary) - RIA
Click below to view Yvonne Renee Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yvonne Renee Smith'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®
NoneExperience
Current
August 1, 2024 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 3823 N Buffalo Rd, Orchard Park, NY 14127RIA
BD
CRD#: 120894
Orchard Park, NY
Current
August 1, 2024 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 3823 N Buffalo Rd, Orchard Park, NY 14127RIA
BD
CRD#: 120894
Orchard Park, NY
Past
May 14, 2021 - August 2, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Clarence Center, NY
Past
May 14, 2021 - August 2, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Williamsville, NY
Past
June 3, 2019 - May 19, 2021
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
Clarence Center, NY
Past
September 24, 2018 - May 19, 2021
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
Clarence Center, NY
Past
April 7, 2010 - September 25, 2018
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
CHEEKTOWAGA, NY
Past
November 15, 2005 - April 1, 2010
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
INDIANAPOLIS, IN
Past
June 15, 2005 - November 18, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
August 21, 2003 - June 15, 2005
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
ENGLEWOOD, CO
Past
May 13, 1998 - September 9, 2003
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 27, 1996 - May 14, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 27, 1996 - May 14, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, 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
Florida(8/1/2024)
IAR
Florida(8/2/2024)
RR
Georgia(8/1/2024)
IAR
Georgia(8/5/2024)
RR
Indiana(8/1/2024)
RR
New York(8/1/2024)
IAR
New York(8/1/2024)
IAR
North Carolina(8/1/2024)
RR
North Carolina(8/6/2024)
RR
Texas(8/1/2024)
IAR
Texas(8/2/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law 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.
Company Information
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894Orchard Park, NY 14127TRUST BUT VERIFY
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