Articles Tagged with Geneos Wealth Management

Richard BravermanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 22, 2017 indicate that Pennsylvania-based Geneos Wealth Management broker/adviser Richard Braverman has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Braverman (CRD# 1023227).

Richard Braverman has spent 35 years in the securities industry and has been registered with Geneos Wealth Management in Lancaster, Pennsylvania since 2008. Previous registrations include FSC Securities Corporation in Lancaster, Pennsylvania (1997-2008); Royal Alliance Associates in Jersey City, New Jersey (1997); Keogler Morgan & Company in Atlanta, Georgia (1987-1997); Hibbard Brown & Company (1987); Eric Securities (1984-1986); Investors Brokerage Services (1984); and John Hancock Distributors (1982-1984). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 12, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1982; Series 7 (General Securities Representative Examination), which he obtained on January 17, 1987; Series 22 (Direct Participation Programs Representative Examination), which he obtained on July 5, 1984; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 22, 1982; and Series 24 (General Securities Principal Examination), which he obtained on October 15, 1997. He is a registered broker and investment adviser with 28 US states and territories

According to his BrokerCheck report, he has received three customer complaints and one denied customer complaint, and resigned from a former employer in connection to alleged rule violations.

Joseph Sterling

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 14, 2017 indicate that Minnesota-based Geneos Wealth Management broker/adviser Joseph Sterling has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sterling (CRD# 1101378).

Joseph Sterling has spent 34 years in the securities industry and has been registered with Geneos Wealth Management in Apple Valley, Minnesota since 2005. Previous registrations include Anchor National Financial Services (1985-1992); IDS Financial Services (1985-1992); IDS Financial Services (1983-1985); and IDS Marketing Corporation (1983-1985). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 16, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 23, 1983; Series 31 (Futures Managed Funds Examination), which he obtained on July 6, 2006; Series 7 (General Securities Representative Examination), which he obtained on September 21, 1985; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 1, 1983; Series 22 (Direct Participation Programs Representative Examination), which he obtained on March 30, 1983; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on August 14, 1987. He is a registered broker and investment adviser with nine US states: Arizona, California, Colorado, Florida, Idaho, Iowa, Maryland, Minnesota and New York.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.

Kenneth AncellPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 11, 2017 indicate that California-based Geneos Wealth Management broker/adviser Kenneth Ancell has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ancell (CRD# 2573123).

Kenneth Ancell has spent 14 years in the securities industry and has been registered with Geneos Wealth Management in Kensington, California since January 2017. Previous registrations include Commonwealth Financial Network in Berkeley, California (2011-2016); Securities America in Berkeley, California (2009-2011); Brecek & Young Advisors in Berkeley, California (2006-2009); and PrefferedTrade in San Francisco, California (2002-2005). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 55 (Limited Representative-Equity Trader Exam); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Illinois, Nevada, Oregon, South Dakota, Vermont and Washington.

According to his BrokerCheck report report, he has received one pending customer complaint and one denied customer complaint.

Randolph EddlemonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 28, 2017 indicate that former Arizona-based Geneos Wealth Management broker/adviser Randolph Eddlemon has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Eddlemon (CRD# 2285234).

Randolph Eddlemon has spent 24 years in the securities industry and was most recently registered with Geneos Wealth Management in Scottsdale, Arizona (2005-2017). Previous registrations include Royal Alliance Associates in Jersey City, New Jersey; Fortis Investors in Oakdale, Minnesota; and First Investors Corporation in New York, New York. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two pending customer complaints and was discharged from his former employer.

Susan HuffmanAccording to records provided by the Financial Industry Regulatory Authority (FINRA), former Colorado-based Geneos broker Susan Huffman is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Huffman, also known as Susan Coyle, Susan Marie Greer, and Susan Marie Greer Huffman (CRD# 1108947).

Susan Huffman has spent 31 years in the securities industry and was most recently registered with Geneos Wealth Management in Castle Rock, Colorado (2004-2014). She was previously registered with FSC Securities in Atlanta, Georgia (1987-2004); BC Christopher Securities (1986-1988); Wall Street West (1985-1986); and BJ Leonard & Company (1983-1985). She is currently not registered with any state or firm. Continue Reading

shutterstock_216917509According to records provided by the Financial Industry Regulatory Authority (FINRA), Colorado-based brokerage and advisory firm Geneos Wealth Management has been sanctioned for its alleged failure to supervise its representatives disclosed outside business activities. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Geneos Wealth Management (CRD# 120894).

Formed in 2002, Geneos Wealth Management is headquartered in Denver, Colorado and registered in 52 US states and territories. Russell Diachok is Chief Executive Officer; Ryan Diachok is President; Raymond Olson is Chief Financial Officer; Jodee May Brubaker-Rager is Chief Compliance Officer; and Dean Rager is Senior Vice President and Chief Advisory Compliance Officer.  Continue Reading