NM
Neal K. Miller
FSC WEALTH ADVISORS
Oneonta, NY
Some features on this profile are disabled
CRD#: 823284
NM
Professional summary
Neal Kulin Miller is a registered financial advisor currently at FSC WEALTH ADVISORS, LLC located in Oneonta, New York and GENEOS WEALTH MANAGEMENT, INC. located in Oneonta, New York.
Neal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Neal has worked at 9 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE and Series 1 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.
1) DBA: MILLER FINANCIAL SERVICES - President of non investment related business located at branch location. 2) FIRST PRESBYTERIAN CHURCH - Elder 3) HARTWICK COLLEGE - Trustee 4) ADIRONDACK WATERFRONT COMPOUND LLC - rental 5) RIA - FSC WEALTH ADVISORS - IAR 6) Independent Rep with various insurance carriers for FIXED INSURANCE SALES
CRS (Client Relationship Summary) - RIA
Click below to view Neal Kulin Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Neal Kulin Miller'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®
NoneExperience
Current
August 18, 2021 - Present
FSC WEALTH ADVISORS, LLC
RIA
CRD#: 154382
Oneonta, NY
Current
October 17, 2025 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 11 Watkins Ave, Oneonta, NY 13820RIA
BD
CRD#: 120894
Oneonta, NY
Current
October 21, 2021 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 11 Watkins Ave, Oneonta, NY 13820RIA
BD
CRD#: 120894
Oneonta, NY
Past
February 18, 2005 - October 22, 2021
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
ONEONTA, NY
Past
June 16, 1999 - March 2, 2005
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
July 29, 1991 - June 16, 1999
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
June 15, 1977 - August 12, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
June 15, 1976 - November 12, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
June 15, 1976 - November 12, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
June 15, 1976 - November 12, 1983
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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
Colorado(10/21/2021)
RR
Connecticut(10/28/2021)
RR
Florida(10/21/2021)
RR
Georgia(10/21/2021)
RR
Maryland(10/21/2021)
RR
Mississippi(4/8/2022)
RR
Nevada(10/21/2021)
RR
New Jersey(10/21/2021)
IAR
New York(8/18/2021)
RR
New York(10/21/2021)
RR
North Carolina(10/22/2021)
RR
Pennsylvania(10/21/2021)
RR
South Carolina(11/15/2021)
RR
Tennessee(10/21/2021)
RR
Virginia(10/21/2021)
RR
West Virginia(5/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/10/1976
Registered Representative ExaminationSRO 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.
