Preston A. Loss
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.
Preston Alan Loss, CFP®, who also goes by Alan Loss, P Alan Loss, was a registered financial professional .
Preston is a previously registered financial professional and started their career in finance in 1981. Preston had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 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
Start date: 1985
Experience
January 6, 2004 - July 1, 2022
GENEOS WEALTH MANAGEMENT, INC.
January 2, 2004 - July 1, 2022
GENEOS WEALTH MANAGEMENT, INC.
April 10, 2003 - November 17, 2022
PERSONAL WEALTH ADVISORY, LLC
July 16, 2002 - January 22, 2004
CETERA WEALTH SERVICES, LLC
March 25, 1996 - April 22, 2003
FINANCIAL NETWORK ADVISORY INC.
July 18, 1994 - January 22, 2004
CETERA WEALTH SERVICES, LLC
June 3, 1988 - August 31, 1992
PEB FINANCIAL GROUP, INC.
August 11, 1987 - September 30, 1987
CARILLON INVESTMENTS, INC.
May 14, 1987 - July 18, 1994
KEOGLER, MORGAN & COMPANY, INC.
April 7, 1987 - May 20, 1987
HIBBARD BROWN & CO., INC.
November 4, 1986 - April 11, 1987
CARILLON INVESTMENTS, INC.
May 30, 1986 - April 21, 1987
FSC SECURITIES CORPORATION
April 6, 1981 - June 11, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
April 6, 1981 - June 12, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
April 6, 1981 - June 12, 1986
IDS LIFE INSURANCE 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
Current 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.
