A broker dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA) FINRA in turn requires us to choose one and only one broker dealer to partner with on your behalf.
The fact that we’ve chosen to work with Geneos Wealth Management, LLC, an independent broker/dealer, means that our firm remains independent too. We are free to act solely in your best interest, without bias and without pressure to promote a particular product or strategy. It’s a model that differs from that of some other larger financial firms known as wirehouses, whose financial representatives are accountable not just to their clients, but also to the parent company that employs them.
Geneos is also independently owned and managed, which means the firm retains the freedom to allocate resources where they are needed and to act in the best interest of its financial advisors and their clients- not shareholders.
Geneos goes far beyond what’s required of a broker/dealer, the entire organization is built around helping advisors do whatever it takes to serve their clients. It’s that infrastructure, and the always expanding wealth of resources it provides, that makes it easier for my for firm to provide you with the best possible guidance and the prompt personal service you expect and deserve.
Check the background of this investment professional on FINRA’s BrokerCheck