TP
Thomas J. Pazera
GENEOS WEALTH MANAGEMENT
ROCKPORT, TX 78382
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CRD#: 715494
TP
Professional summary
Thomas Joseph Pazera, CFP®, who also goes by Thomas J Pazera, is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Rockport, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
Thomas J Pazera
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: PAZERA CAPITAL MANAGEMENT INC BUSINESS LOCATED AT BRANCH LOCATION. 2) INDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY. 3) OWNER OF TJP INVESTMENTS LLC-REAL ESTATE OFFICE BUILDING RENTAL.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Pazera's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Pazera'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: 1985
Experience
Current
May 29, 2025 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 1899 N Live Oak, Rockport, TX 78382RIA
BD
CRD#: 120894
ROCKPORT, TX
Current
November 14, 2006 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 1899 N Live Oak, Rockport, TX 78382RIA
BD
CRD#: 120894
ROCKPORT, TX
Past
October 13, 1995 - December 24, 1996
WFG INVESTMENTS, INC.
BD
CRD#: 22704
DALLAS, TX
Past
October 19, 1990 - December 31, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
January 5, 1990 - June 30, 2025
PAZERA CAPITAL MANAGEMENT, INC.
RIA
CRD#: 114363
ROCKPORT, TX
Past
December 20, 1984 - November 14, 2006
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
ROCKPORT, TX
Past
September 14, 1981 - December 26, 1984
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
Past
September 5, 1980 - July 9, 1981
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
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
Arkansas(11/14/2006)
RR
California(11/14/2006)
RR
Colorado(11/14/2006)
RR
Connecticut(1/13/2016)
RR
Georgia(5/29/2014)
RR
Idaho(6/24/2015)
RR
Illinois(1/3/2022)
RR
Louisiana(2/14/2008)
RR
Maine(4/30/2018)
RR
Maryland(1/3/2022)
RR
Minnesota(3/8/2016)
RR
Mississippi(11/14/2006)
RR
Missouri(2/3/2011)
RR
New Mexico(9/20/2011)
RR
North Carolina(9/8/2023)
RR
Oklahoma(11/14/2006)
RR
South Carolina(1/13/2016)
RR
Texas(11/14/2006)
IAR
Texas(5/29/2025)
RR
Utah(6/24/2015)
RR
Vermont(1/4/2013)
RR
Virginia(3/2/2011)
RR
Washington(8/19/2011)
RR
Wisconsin(6/5/2020)
RR
Wyoming(11/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894Rockport, TX 78382TRUST BUT VERIFY
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