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Brock Guice

Secretary at Raymond James Financial Services Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Brock Guice is Secretary of Raymond James Financial Services Advisors, Inc, a Saint Petersburg investment adviser managing $390B. Brock Guice has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Raymond James Financial Services Advisors

Title on Schedule A
Secretary
Control
Brock Guice is a control person of Raymond James Financial Services Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Brock Guice has held the filed role since November 2019.

The firm

Raymond James Financial Services Advisors, Inc
Saint Petersburg, FL

Form ADV filed 21 September 2026

$390B AUM508,439 clients6,024 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 · 2016
  4. Passed Series 27 · 2015
  5. Passed Series 7 · 2009

Registrations and exams

Broker registration; no current adviser registration. Brock Guice has passed 5 qualifying exams.

Examinations

Series 2412 December 2016
Name
General Securities Principal Examination
Series 2710 April 2015
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 727 February 2009
Name
General Securities Representative Examination

Individual record

Full name
Brock Aaron Guice
CRD
2898784
Firm
Raymond James Financial Services Advisors, Inc
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Brock Guice work?

Brock Guice has been Secretary of Raymond James Financial Services Advisors, Inc since November 2019, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 21 September 2026

Does Brock Guice have a current investment-adviser registration?

Brock Guice has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Brock Guice passed?

Brock Guice has passed 5 licensing exams: the Series 7, Series 27, Series 24, SIE and Series 99TO. The earliest, the Series 7, was passed in February 2009.

Source: IAPD individual record, checked 17 October 2026

Leadership at Raymond James Financial Services Advisors

  • Tashtego Spring Elwyn
    Director; Chairman of the Board; President; Chief Executive Officer
  • Kirk Bell
    Director; President, Icd
  • Ronice Barlow
    Chief Operating Officer
  • Philip Roger Martin
    RIA Chief Compliance Officer
  • Douglas Brigman
    Director
  • Scott Curtis
    Director
  • William Geis
    Director
  • Stephen Kruchten
    Director
  • Keith G Rust
    Director
  • Jonathan Santelli
    General Counsel
  • Andrew Zolper
    Director

Sources

  1. IAPD individual record, CRD 2898784. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Raymond James Financial Services Advisors, Inc, filed 21 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Brock Guice or Raymond James Financial Services Advisors, Inc and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.