fbpx

Category: Geneos Wealth Management

  • Home
  • »
  • Geneos Wealth Management

Geneos Wealth Management Sanctioned by FINRA Regarding LJM and GPB Sales

Geneos Wealth Management has been a member firm of FINRA’s for 20 years. As a full-service broker-dealer, it functions on an independent contractor model with roughly 350 registered financial advisors at 180 branch offices. The company’s headquarters are located in Centennial, CO. The Nature of the FINRA Sanction According to publicly available records released by […]

Genos Wealth Management Investment Advisor Richard Braverman Has Two Customer Complaints Alleging Unsuitable Investments

Richard Braverman (CRD#: 1023227) is a dually registered Broker and Investment Advisor at Genos Wealth Management, Inc. in Lancaster, PA. He entered the securities industry in 2005 and previously worked for FSC Securities Corporation; Braverman Financial Associates; Royal Alliance Associates, Inc.; Keogler, Morgan & Company, Inc.; Hibbard Brown & Co., Inc.; Investors Brokerage Services, Inc.; […]

Geneos Wealth Management Financial Advisor Robert Stanlick Has Three Customer Complaint Disclosures, Including Pending Disclosures

Robert Stanlick (CRD#: 2411358) is a dually registered Broker and Investment Advisor at Geneos Wealth Management, Inc., in Colorado Springs, CO. He entered the securities industry in 1993 and previously worked for Presidential Brokerage, Inc.; U.S. Bancorp Piper Jaffray, Inc.; Allmerica Investments, Inc.; CUNA Brokerage Services, Inc.; New England Securities, Inc. According to publicly available […]

Independent Financial Group Financial Advisor, Brian Lockett, Has Nine Customer Complaints And A FINRA Suspension Reported On His CRD

Brian Joseph Lockett (CRD # 4573162) is a Financial Advisor at Independent financial Group, LLC in Lynnwood, WA.  Brian Lockett has been in the securities industry since 2002 and previously worked at Geneos Wealth Management, Inc. and Commonwealth Financial Network. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Brian Lockett […]

Financial Advisor Bradley Tennison Barred By FINRA

The Wolper Law Firm is currently investigating claims against Bradley Tennison, a former Financial Advisor at Geneos Wealth Management, Inc. in Mesa, Arizona.  Bradley Tennison first entered the securities industry in 1992 and previously worked for Oberlin Financial Corp. and First Allied Securities. According to publicly available records released by the Financial Industry Regulatory Authority […]