TERESA ANN SMITH is currently employed as a Broker and/or Investment Adviser at GENEOS WEALTH MANAGEMENT, INC. located at 5445 DTC PKWY, SUITE 825, GREENWOOD VILLAGE, CO, 80111.
TERESA ANN SMITH has worked at GENEOS WEALTH MANAGEMENT, INC. since March 24, 2015
Disclosure History
TERESA ANN SMITH has 1 Disclosure Event(s).
Date: April 17, 1985 Category: Regulatory Initiated By: IOWA Allegations: REQUEST FOR AGENT REGISTRATION REJECTED BY THE STATE OF IOWA ONAPRIL 17, 1985, BASED ON SALES WHILE UNLICENSED. Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: N/A Broker Comment: I WAS SOLICITING BUSINESS IN IOWA-BUT THE ORDERSWERE TO MY MOTHER & BROTHER. I WAS UNDER THE IMPRESSION THAT I DIDN`T NEED TO BE REGISTERED OF SELLING TO MY RELATIVES. THIS WAS AN INCORRECT ASSUMPTION. I HAVE ATTACHED THE ORDER & CONSENT TO ORDER.
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