Alan SchmidgallCRD Number: 1384131
Current Firm: Geneos Wealth Management, Inc.
Alan Schmidgall (CRD# 1384131) is an Investment Advisor Representative working at Geneos Wealth Management, Inc. in Scottsdale, AZ and has over 31 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|Geneos Wealth Management, Inc.||Scottsdale, AZ||Jan 2005 - Current||12|
|Schooner Financial Associates||Scottsdale, AZ||May 1995 - Current||21|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1985|
|S65||NASAA Investment Advisors Law Examination||Dec 1995|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management2,024MILLIONS
Total Number of Accounts10,968ACCOUNTS
Average Account Value$184,545
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV