David M. Arthur
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.
David Michael Arthur, who also goes by Dave Arthur, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1979. David had worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 31, Series 7, Series 1 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
March 24, 2004 - July 6, 2021
GENEOS WEALTH MANAGEMENT, INC.
March 24, 2004 - July 6, 2021
GENEOS WEALTH MANAGEMENT, INC.
June 11, 2003 - March 24, 2004
UNITED SECURITIES ALLIANCE, INC.
June 11, 2003 - March 24, 2004
UNITED SECURITIES ALLIANCE, INC.
January 2, 2003 - June 17, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 2, 2003 - June 17, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 7, 1997 - December 31, 2002
CETERA ADVISORS LLC
May 7, 1997 - December 31, 2002
CETERA ADVISORS LLC
December 19, 1979 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
December 19, 1979 - May 29, 1997
IDS LIFE INSURANCE COMPANY
December 19, 1979 - May 29, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 12/15/1979
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.
