James H. Eick
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.
James Harold Eick, who also goes by James H Eick, Jim Eick, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 9 firms and has passed the Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2006 - October 6, 2008
GENEOS WEALTH MANAGEMENT, INC.
January 1, 2000 - December 31, 2020
PURSUIT WEALTH MANAGEMENT
September 23, 1992 - November 1, 2006
SECURITIES AMERICA, INC.
July 28, 1992 - August 28, 1992
PRUCO SECURITIES, LLC.
September 20, 1991 - May 21, 1992
CENTURY INVESTORS OF AMERICA, INC.
May 14, 1991 - July 24, 1991
THRIVENT INVESTMENT MANAGEMENT INC.
March 26, 1987 - July 23, 1990
AEGON USA SECURITIES INC.
June 3, 1982 - June 7, 1985
ROBERT JONES INVESTMENTS, INC.
June 23, 1981 - November 30, 1981
LEHMAN BROTHERS INC.
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.
