PN
Patrick E. Nolen
GENEOS WEALTH MANAGEMENT
Centennial, CO 80112
Some features on this profile are disabled
CRD#: 348842
PN
Professional summary
Patrick Edward Nolen, who also goes by Patrick E Nolen, is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Centennial, Colorado.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Patrick has worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick E Nolen
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: WILL WORK UNDER NOLEN WESTERN CO A NON INVESTMENT RELATED BUSINESS LOCATED AT BRANCH LOCATION. 2) NDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED INSURANCE BUSINESS. 3) WESTERN ASSET HOLDINGS LLC-REAL ESTATE OWNER-RENTAL INCOME. 4) BENCENTIVE LLC-MANAGING PARTNER.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Edward Nolen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Edward Nolen'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 3, 2015 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 9085 E Mineral Cir Suite 215, Centennial, CO 80112RIA
BD
CRD#: 120894
Centennial, CO
Current
August 3, 2015 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 9085 E Mineral Cir Suite 215, Centennial, CO 80112RIA
BD
CRD#: 120894
Centennial, CO
Past
June 7, 2006 - August 18, 2015
HINDS FINANCIAL GROUP INC
RIA
CRD#: 129971
LAKEWOOD, CO
Past
January 1, 1999 - August 5, 2015
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CENTENNIAL, CO
Past
November 19, 1989 - December 6, 1989
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 17, 1989 - August 5, 2015
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CENTENNIAL, CO
Past
March 10, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
September 8, 1984 - February 4, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
February 15, 1982 - February 13, 1984
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Past
March 25, 1974 - February 13, 1984
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
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
Colorado(8/3/2015)
IAR
Colorado(8/3/2015)
RR
Louisiana(8/3/2015)
RR
Missouri(7/18/2024)
RR
Texas(8/3/2015)
IAR
Texas(8/3/2015)
RR
Washington(8/3/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/22/1974
Registered Representative ExaminationSRO 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.
