David Sean Carl
CFP®Professional Summary
David Sean Carl, CFP® is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Addison, Texas. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Credentials
Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
GENEOS WEALTH MANAGEMENT, INC.
Contact Information
Main Address
9635 Maroon Circle Suite 100, Englewood, CO 80112Mailing Address
9635 Maroon Circle Suite 100, Englewood, CO 80112Phone Number
(303) 785-8470Established
Colorado since 04/12/2002Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
200SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
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 |
| REICHERT, PAMALA ANN | DEPUTY CHIEF OPERATING OFFICER | 3105359 |
Regulatory Assets Under Management
Total Number of Accounts
33,378AUM (Assets Under Management)
$9,217,163,038Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
GENEOS WEALTH MANAGEMENT, INC.
State Registrations and Notice Filings
(8/22/2013)
(6/25/2013)
(6/25/2013)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1998About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Sean Carl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Sean Carl's CRS (Customer Relationship Summary).
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