Jerry L. Smith

GENEOS WEALTH MANAGEMENT

Georgetown, TX

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CRD#: 736316

Professional summary

Jerry Lane Smith is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Georgetown, Texas.

Jerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Jerry has worked at 5 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 6 and Series 26 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry Lane Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jerry Lane Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 2, 2004 - Present

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

Georgetown, TX

Current

January 2, 2004 - Present

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

Georgetown, TX

Past

September 26, 2003 - December 31, 2003

UNITED SECURITIES ALLIANCE, INC.

RIA

CRD#: 36487

SALADO, TX

Past

September 12, 2003 - December 31, 2003

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

June 7, 1996 - October 2, 2003

CETERA ADVISORS LLC

RIA

CRD#: 10299

SALADO, TX

Past

September 7, 1993 - October 2, 2003

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

January 31, 1982 - September 9, 1993

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

August 28, 1981 - January 5, 1982

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

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".

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)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(1/2/2004)

Colorado
(1/2/2004)

Florida
(1/2/2004)

IAR

Florida
(7/31/2024)

Georgia
(1/3/2023)

IAR

Georgia
(8/2/2024)

Idaho
(1/21/2022)

Illinois
(11/14/2006)

Maryland
(4/1/2014)

Nebraska
(1/2/2014)

New Mexico
(7/8/2025)

North Carolina
(2/26/2019)

IAR

North Carolina
(8/1/2024)

Ohio
(1/2/2004)

Oklahoma
(1/2/2004)

Oregon
(3/10/2020)

South Carolina
(1/3/2023)

Texas
(1/2/2004)

IAR

Texas
(1/2/2004)

Virginia
(2/11/2026)

Wisconsin
(5/13/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/20/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/28/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/20/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/25/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/12/1986

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR DISCLOSURE BROCHURE (3/14/2025)

VIP ULTRA WRAP FEE DISCLOSURE BROCHURE (3/14/2025)

AXIOM WRAP FEE DISCLOSURE BROCHURE (3/14/2025)

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

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.

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Firm Stability Insights

Jerry L. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry Lane Smith's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jerry Lane Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

GENEOS WEALTH MANAGEMENT, INC.

UNITED SECURITIES ALLIANCE, INC.

UNITED SECURITIES ALLIANCE, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

PFS INVESTMENTS INC.

ENTERPRISE FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

GENEOS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/20/1994

SIE

Date: 10/1/2018

Series 31

Date: 4/28/2000

Series 7

Date: 12/20/1996

Series 6

Date: 8/25/1981

Series 26

Date: 9/12/1986

FINRA

Current Firm

GENEOS WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GENEOS WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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