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AS
ChFC
AS
ChFC

Aleen Swofford

Geneos Wealth Management, INC.
42 Years of Experience
Knoxville, TN
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Aleen Swofford is a ChFC-designated registered investment advisor at Geneos Wealth Management, INC., based in Knoxville, TN, with 42 years of industry experience. Aleen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 6 more. Their firm serves 21,668 clients with $9.2B in assets under management.

Geneos Wealth Management, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
228 advisors
Number of Clients
21,668 clients
Average Client Portfolio
$425K average
Assets Under Management
$9.2B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Annual management fees are negotiated between you and your representative, ranging from 0.00% to 2.50%. The firm specifies a minimum account fee floor of 0.50%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

306 Prosperity Road, Suite 101, Knoxville, TN, 37923

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 1997
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Aleen will operate under Prosperity Partners Wealth Management LLC, a non-investment related business. She is also an independent representative with various insurance carriers for fixed insurance business and a chapter president for American Financial Education Alliance.

Employment History
Current Registrations
Geneos Wealth Management, INC.Broker
February 2015 - Present · 11 yrs 8 mos
Geneos Wealth Management, INC.
February 2015 - Present · 11 yrs 8 mos
Previous Registrations
Woodbury Financial Services, INC.Broker
July 2007 - February 2015 · 7 yrs 7 mos
Woodbury Financial Services, INC.
July 2007 - February 2015 · 7 yrs 7 mos
Oneamerica Securities, INC.
February 2004 - July 2007 · 3 yrs 5 mos
Oneamerica Securities, INC.Broker
April 2000 - July 2007 · 7 yrs 3 mos
American United Life Insurance CompanyBroker
April 2000 - December 2001 · 1 yr 8 mos
Pruco Securities CorporationBroker
July 1984 - April 2000 · 15 yrs 9 mos
The Prudential Insurance Company of AmericaBroker
July 1984 - December 1993 · 9 yrs 5 mos
State Registrations15 states
ALCACOFLGAIDILKYMINCNYOHTNTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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