TS
Teresa A. Smith
GENEOS WEALTH MANAGEMENT
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 871489
TS
Professional summary
Teresa Ann Smith, who also goes by Teresa Ann Campbell, Terry Campbell, is a registered financial professional currently at GENEOS WEALTH MANAGEMENT, INC. located in Greenwood Village, Colorado.
Teresa is registered as a RR (Registered Representative) and started their career in finance in 1979. Teresa has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Teresa Ann Campbell | Terry Campbell
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.
CRS (Client Relationship Summary) - BD
Click below to view Teresa Ann Smith'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
March 24, 2015 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 5251 Dtc Parkway Suite 1001, Greenwood Village, CO 80111RIA
BD
CRD#: 120894
Greenwood Village, CO
Past
March 26, 2014 - June 4, 2014
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
DENVER, CO
Past
July 19, 2010 - December 17, 2013
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
June 5, 2007 - April 28, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
DENVER, CO
Past
August 4, 2006 - February 8, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
Past
December 4, 1997 - June 7, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
July 1, 1987 - July 7, 1997
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
DENVER, CO
Past
September 29, 1986 - March 18, 1987
DEUTSCHE IXE, LLC
BD
CRD#: 7172
Past
July 29, 1983 - July 29, 1986
NTB FINANCIAL CORPORATION
BD
CRD#: 7425
Past
July 9, 1980 - July 7, 1983
HANIFEN, IMHOFF INC.
BD
CRD#: 2126
Past
September 19, 1979 - July 27, 1980
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
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.
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
California(3/25/2015)
RR
Colorado(3/25/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
