Karl F. Frank
A & I WEALTH MANAGEMENT
LONE TREE, CO 80112
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CRD#: 4769985
Professional summary
Karl Fredrick Frank, CFP® is a registered financial advisor currently at A & I WEALTH MANAGEMENT located in Lone Tree, Colorado and GENEOS WEALTH MANAGEMENT, INC. located in Lone Tree, Colorado.
Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Karl has worked at 3 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) WILL WORK UNDER RIA DBA A&I FINANCIAL SERVICES LLC DBA A&I WEALTH MANAGEMENT - IAR AND OWNER AN INVESTMENT RELATED BUSINESS LOCATED AT BRANCH LOCATION. 2) INDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY. 3) AUTHOR. 4) A&I HOLDINGS LLC-OWNER. 5) PUFFERFISH LLC-MEMBER. 6) 9605 KINGSTON COURT LLC-MEMBER.
CRS (Client Relationship Summary) - RIA
Click below to view Karl Fredrick Frank's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karl Fredrick Frank'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®
CFP®
Start date: 2007
Experience
Current
January 5, 2009 - Present
A & I WEALTH MANAGEMENT
Office #1: 9605 Kingston Court Suite 190, Lone Tree, CO 80112RIA
CRD#: 148357
LONE TREE, CO
Current
August 2, 2021 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 9605 Kingston Court Suite 190, Lone Tree, CO 80112RIA
BD
CRD#: 120894
Lone Tree, CO
Current
January 4, 2005 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 9605 Kingston Court Suite 190, Lone Tree, CO 80112RIA
BD
CRD#: 120894
Lone Tree, CO
Past
January 4, 2005 - December 31, 2010
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
ENGLEWOOD, CO
Past
October 20, 2004 - January 7, 2005
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
CENTENNIAL, CO
Past
April 26, 2004 - January 7, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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
Alaska(8/3/2021)
RR
Arizona(11/9/2009)
RR
California(1/10/2007)
RR
Colorado(1/4/2005)
IAR
Colorado(1/5/2009)
RR
Florida(4/10/2013)
RR
Georgia(8/21/2013)
RR
Hawaii(4/10/2013)
RR
Idaho(3/13/2017)
RR
Illinois(8/3/2021)
RR
Indiana(1/2/2015)
RR
Kansas(8/3/2021)
RR
Maine(1/3/2023)
RR
Maryland(4/30/2015)
RR
Massachusetts(5/30/2017)
RR
Michigan(4/10/2013)
RR
Minnesota(4/10/2013)
RR
Missouri(6/18/2020)
RR
Montana(4/10/2013)
RR
Nebraska(9/19/2019)
RR
New Jersey(8/3/2021)
RR
New Mexico(8/3/2021)
RR
New York(5/30/2017)
RR
North Carolina(9/6/2022)
RR
Ohio(7/2/2018)
RR
Oregon(2/10/2015)
RR
Pennsylvania(8/3/2021)
RR
South Carolina(10/10/2018)
RR
South Dakota(3/15/2011)
RR
Texas(2/23/2012)
RR
Utah(8/3/2021)
RR
Virginia(7/31/2008)
RR
Washington(10/3/2012)
RR
Wisconsin(8/3/2021)
RR
Wyoming(1/2/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO 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.
