AW
Adam W. Workman
GENEOS WEALTH MANAGEMENT
Roanoke, VA 24015
Some features on this profile are disabled
CRD#: 6853913
AW
Professional summary
Adam W. Workman is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Roanoke, Virginia.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Adam has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 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: IFA WEALTH LOCATED AT BRANCH LOCATION-40 HOURS PER WEEK. 2) MONTGOMERY COUNTY PLANNING COMMISSION-PLANNING COMMISSIONER. 3) INDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED INSURANCE BUSINESS ONLY.
CRS (Client Relationship Summary) - RIA
Click below to view Adam W. Workman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam W. Workman'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®
NoneExperience
Current
March 29, 2022 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 2709 Brambleton Avenue, Roanoke, VA 24015RIA
BD
CRD#: 120894
Roanoke, VA
Current
October 7, 2021 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 2709 Brambleton Avenue, Roanoke, VA 24015RIA
BD
CRD#: 120894
Roanoke, VA
Past
October 2, 2017 - October 7, 2021
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
Christiansburg, VA
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
Arizona(6/29/2023)
IAR
Arizona(7/12/2023)
RR
California(6/29/2023)
RR
Delaware(6/29/2023)
RR
District of Columbia(6/29/2023)
IAR
District of Columbia(9/6/2023)
RR
Florida(2/13/2023)
IAR
Florida(6/30/2023)
RR
Georgia(6/29/2023)
IAR
Georgia(7/3/2023)
RR
Illinois(6/29/2023)
IAR
Illinois(6/29/2023)
RR
Maryland(6/29/2023)
IAR
Maryland(6/29/2023)
RR
Michigan(6/29/2023)
IAR
Michigan(6/29/2023)
IAR
Minnesota(6/29/2023)
RR
Missouri(6/29/2023)
IAR
Missouri(6/29/2023)
RR
New Jersey(6/29/2023)
RR
New York(6/29/2023)
RR
North Carolina(6/30/2022)
IAR
North Carolina(6/29/2023)
RR
Pennsylvania(5/22/2024)
RR
South Carolina(1/2/2024)
RR
Texas(6/29/2023)
IAR
Texas(6/29/2023)
IAR
Vermont(1/26/2024)
RR
Virginia(10/7/2021)
IAR
Virginia(3/29/2022)
RR
West Virginia(6/29/2023)
RR
Wisconsin(5/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/22/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
Company Information
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894Roanoke, VA 24015TRUST BUT VERIFY
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