Lance D. Marble

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CRD#: 2801714

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.

Lance David Marble was a registered financial professional .

Lance is a previously registered financial professional and started their career in finance in 1996. Lance had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 14, 2012 - May 4, 2021

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

Mesa, AZ

Past

March 14, 2012 - May 4, 2021

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

Mesa, AZ

Past

January 30, 2009 - March 14, 2012

CINCINNATI ANALYSTS, INC.

RIA

CRD#: 5478

MESA, AZ

Past

January 29, 2009 - March 14, 2012

CINCINNATI ANALYSTS, INC.

CRD#: 5478

MESA, AZ

Past

May 23, 2006 - February 5, 2009

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

MESA, AZ

Past

May 6, 2006 - February 5, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

MESA, AZ

Past

June 20, 2005 - May 10, 2006

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

September 5, 2003 - June 30, 2005

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SCOTTSDALE, AZ

Past

April 12, 2001 - May 25, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

May 10, 2000 - April 11, 2001

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

October 18, 1996 - May 22, 2000

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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".

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)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/2/2003

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/24/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/17/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/5/2000

General Securities Principal Examination

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR DISCLOSURE BROCHURE (3/14/2025)

VIP ULTRA WRAP FEE DISCLOSURE BROCHURE (3/14/2025)

AXIOM WRAP FEE DISCLOSURE BROCHURE (3/14/2025)

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

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.

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Advisor Monitoring

Firm Stability Insights

Lance D. Marble

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GENEOS WEALTH MANAGEMENT, INC.

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

HIMCO DISTRIBUTION SERVICES COMPANY

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MML INVESTORS SERVICES, LLC

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

GENEOS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/2/2003

Series 65

Date: 8/24/1998

Series 63

Date: 11/11/1996

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2000

Series 6

Date: 10/17/1996

Series 24

Date: 12/5/2000

Current Firm

GENEOS WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GENEOS WEALTH MANAGEMENT, INC.

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