Barbara L. Walker
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.
Barbara Lee Walker, who also goes by Barbara Broyles, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1999. Barbara had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2015 - January 30, 2019
GENEOS WEALTH MANAGEMENT, INC.
March 28, 2007 - July 6, 2015
SILVER OAK SECURITIES, INCORPORATED
January 15, 2007 - July 6, 2015
SILVER OAK SECURITIES, INCORPORATED
January 20, 2006 - January 11, 2007
PRIVATE CLIENT SERVICES, LLC
November 3, 2005 - January 8, 2007
WOODBURY FINANCIAL SERVICES, INC.
October 7, 2005 - January 8, 2007
WOODBURY FINANCIAL SERVICES, INC.
November 14, 2001 - October 20, 2005
EQUITY SERVICES, INC.
August 31, 2000 - October 20, 2005
EQUITY SERVICES, INC.
February 16, 1999 - August 9, 2000
ONEAMERICA SECURITIES, INC.
February 16, 1999 - August 9, 2000
AMERICAN UNITED LIFE INSURANCE COMPANY
Primary Firm SEC Registration
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894 / SEC#: 801-62331, 8-65357
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894 / SEC#: 801-62331, 8-65357
Contact information
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.
