Denton L. Smith
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.
Denton Lee Smith was a registered financial professional .
Denton is a previously registered financial professional and started their career in finance in 1971. Denton had worked at 8 firms and has passed the Series 65, Series 63 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
April 6, 2005 - May 17, 2013
GENEOS WEALTH MANAGEMENT, INC.
January 4, 2005 - May 17, 2013
GENEOS WEALTH MANAGEMENT, INC.
August 24, 1994 - March 31, 2005
SMITH FINANCIAL, INC.
November 19, 1989 - December 31, 2004
OSAIC WEALTH, INC.
February 24, 1984 - November 18, 1987
LINCOLN NATIONAL PENSION INSURANCE COMPANY
February 24, 1984 - December 4, 1987
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 24, 1984 - December 4, 1987
OSAIC FA, INC.
November 11, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 13, 1971 - November 21, 1983
JOHN HANCOCK DISTRIBUTORS LLC
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: 5/8/1971
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.
