Roger E. Butler
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.
Roger Earl Butler, who also goes by Roger E Butler, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1973. Roger had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2004 - June 30, 2017
GENEOS WEALTH MANAGEMENT, INC.
July 1, 2004 - June 30, 2017
GENEOS WEALTH MANAGEMENT, INC.
January 1, 1999 - July 9, 2004
WALNUT STREET ADVISERS INC
October 27, 1995 - July 9, 2004
WALNUT STREET SECURITIES, INC.
May 21, 1991 - June 14, 1991
CHARLES SCHWAB & CO., INC.
March 23, 1990 - October 13, 1995
OPPENHEIMER & CO. INC.
August 1, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
March 16, 1988 - December 5, 1988
LEXINGTON FUNDS DISTRIBUTOR, INC.
June 19, 1983 - October 7, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 10, 1983 - February 8, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
October 10, 1980 - January 4, 1983
HIMCO DISTRIBUTION SERVICES COMPANY
November 26, 1973 - March 21, 1983
MASSACHUSETTS MUTUAL 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
Series 1
Date: 11/23/1973
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.
