Dorothy M. Mechtenberg
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.
Dorothy Margaret Mechtenberg, who also goes by Botos, Dorothy M Jenson, Dorothy Margaret Malec, Dorothy M Mechtenberg, Dot Mechtenberg, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1971. Dorothy had worked at 16 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2004 - June 13, 2019
GENEOS WEALTH MANAGEMENT, INC.
October 15, 2003 - January 2, 2019
GENEOS WEALTH MANAGEMENT, INC.
July 15, 2003 - October 13, 2003
CETERA ADVISORS LLC
June 11, 2003 - October 13, 2003
CETERA ADVISORS LLC
December 20, 1999 - January 24, 2000
SIGNATOR FINANCIAL SERVICES, INC.
January 1, 1999 - October 13, 2003
VESTAX SECURITIES CORPORATION
January 1, 1999 - December 13, 2004
MECHTENBERG FINANCIAL GROUP INC
November 18, 1996 - October 13, 2003
VESTAX SECURITIES CORPORATION
April 30, 1992 - November 13, 1996
SIGNATOR FINANCIAL SERVICES, INC.
January 2, 1992 - April 29, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 27, 1990 - January 7, 1992
SIGNATOR FINANCIAL SERVICES, INC.
November 13, 1989 - April 24, 1990
PRINCIPAL SECURITIES, INC.
September 23, 1988 - November 16, 1989
SIGNATOR FINANCIAL SERVICES, INC.
April 11, 1988 - August 4, 1988
DERAND/PENNINGTON/BASS, INC.
January 21, 1988 - April 29, 1988
MONY SECURITIES CORPORATION
January 21, 1988 - May 3, 1988
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
October 1, 1985 - January 29, 1988
FSC SECURITIES CORPORATION
March 14, 1977 - August 28, 1985
PW SECURITIES, INC.
February 9, 1976 - March 19, 1977
FIRST MID-AMERICA INC.
July 30, 1974 - February 19, 1976
KFS BD, INC.
July 13, 1972 - August 8, 1974
A. G. EDWARDS & SONS, INC.
November 22, 1971 - April 13, 1972
DEAN WITTER & CO. INCORPORATED
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
Series 1
Date: 11/11/1971
Registered Representative ExaminationCurrent 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.
