Danny J. Mcconnell
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.
Danny John Mcconnell was a registered financial professional .
Danny is a previously registered financial professional and started their career in finance in 1975. Danny had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2012 - December 31, 2018
GENEOS WEALTH MANAGEMENT, INC.
April 27, 2012 - December 31, 2018
GENEOS WEALTH MANAGEMENT, INC.
March 8, 2007 - April 27, 2012
SANDERS MORRIS LLC
March 15, 2004 - December 31, 2006
SMH CAPITAL ADVISORS LLC
January 2, 2002 - April 27, 2012
SANDERS MORRIS LLC
January 19, 1994 - December 31, 2001
IFG NETWORK SECURITIES, INC.
November 18, 1992 - January 20, 1994
FSC SECURITIES CORPORATION
January 16, 1992 - November 16, 1992
HARGER AND COMPANY, INC.
April 4, 1989 - September 28, 1992
F & G SECURITIES, INC.
November 19, 1985 - November 17, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
February 26, 1981 - November 11, 1985
SENTRY EQUITY SERVICES, INC.
July 17, 1975 - May 29, 1981
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 17, 1975 - October 17, 1983
OSAIC FA, 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
Series 1
Date: 7/12/1975
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.
