J.c. Waller
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.
J.c. Waller III, AIF®, who also goes by J C Waller, J.c. Waller, III, Trey Waller, III, was a registered financial professional .
J.c. is a previously registered financial professional and started their career in finance in 2001. J.c. had worked at 8 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2022 - August 18, 2022
GENEOS WEALTH MANAGEMENT, INC.
May 5, 2012 - July 22, 2016
CABANA ADVISORS, LLC
July 6, 2011 - April 27, 2012
EMPOWER ADVISORY GROUP, LLC
April 18, 2011 - July 6, 2011
SHERWOOD INVESTMENT MANAGEMENT, LLC
October 17, 2007 - January 3, 2011
OLD MUTUAL CAPITAL
June 14, 2007 - January 3, 2011
OLD MUTUAL INVESTMENT PARTNERS
July 8, 2003 - May 15, 2007
ICON ADVISERS, INC.
February 8, 2001 - May 15, 2007
ICON DISTRIBUTORS, INC.
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.
