Jacob W. Parish

GENEOS WEALTH MANAGEMENT

Scottsdale, AZ 85260

Some features on this profile are disabled

CRD#: 5631459

Professional summary

Jacob Warren Parish, CFP® is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Scottsdale, Arizona.

Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Jacob has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 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) DBA:SCHOONER FINANCIAL ASSOCIATES LOCATED AT BRANCH LOCATION. 2) INDENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY. 3) SCHOONER FINANCIAL ASSOCIATES OF AZ-CO-OWNER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Warren Parish's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jacob Warren Parish's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2016

Experience

Current

October 27, 2010 - Present

GENEOS WEALTH MANAGEMENT, INC.

Office #1: 9917 E Bell Road Suite #110, Scottsdale, AZ 85260

RIA

CRD#: 120894

Scottsdale, AZ

Current

May 22, 2009 - Present

GENEOS WEALTH MANAGEMENT, INC.

Office #1: 9917 E Bell Road Suite #110, Scottsdale, AZ 85260

RIA

CRD#: 120894

Scottsdale, 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".

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)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(6/15/2009)

IAR

Arizona
(10/27/2010)

California
(5/11/2010)

Colorado
(5/10/2011)

Florida
(2/23/2022)

New Mexico
(7/16/2009)

Oregon
(1/26/2022)

Texas
(2/23/2022)

Virginia
(1/21/2022)

Washington
(1/24/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/7/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/10/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR DISCLOSURE BROCHURE (3/14/2025)

VIP ULTRA WRAP FEE DISCLOSURE BROCHURE (3/14/2025)

AXIOM WRAP FEE DISCLOSURE BROCHURE (3/14/2025)

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

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jacob W. Parish

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Warren Parish's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jacob Warren Parish's CRS (Customer Relationship Summary).

Certified licenses

Experience

GENEOS WEALTH MANAGEMENT, INC.

Primary Firm SEC Registration

GENEOS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2010

Series 63

Date: 6/10/2009

SIE

Date: 10/1/2018

Series 7

Date: 5/21/2009

FINRA

Current Firm

GENEOS WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GENEOS WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors