William E. Coffman
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.
William Edward Coffman JR, who also goes by Bill Coffman, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 51 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
January 5, 2011 - December 31, 2021
GENEOS WEALTH MANAGEMENT, INC.
May 1, 2003 - December 31, 2021
GENEOS WEALTH MANAGEMENT, INC.
August 6, 1996 - May 13, 2003
SUNAMERICA SECURITIES, INC.
February 28, 1992 - August 14, 1996
WOODBURY FINANCIAL SERVICES, INC.
May 2, 1991 - February 25, 1992
KAVANAUGH SECURITIES, INC.
December 8, 1987 - June 3, 1991
AMERICAN GENERAL SECURITIES INCORPORATED
July 11, 1985 - December 15, 1987
FSC SECURITIES CORPORATION
June 3, 1985 - July 23, 1985
ADVANTAGE CAPITAL CORPORATION
April 23, 1969 - March 3, 1980
ADVANTAGE CAPITAL CORPORATION
August 28, 1968 - May 25, 1972
AMERICAN GENERAL MANAGEMENT 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: 8/23/1968
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.
