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William Geis

Director at Raymond James Financial Services Advisors

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

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

William Geis is Director of Raymond James Financial Services Advisors, Inc, a Saint Petersburg investment adviser managing $390B. William Geis has a current broker registration and no current investment-adviser registration and has passed the Series 7, SIE and Series 99TO.

Role at Raymond James Financial Services Advisors

Title on Schedule A
Director
Control
William Geis is a control person of Raymond James Financial Services Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
William Geis has held the filed role since August 2026.

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 7 · 2002

Registrations and exams

Broker registration; no current adviser registration. William Geis has passed 3 qualifying exams.

Examinations

Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 711 November 2002
Name
General Securities Representative Examination

Individual record

Full name
William Christian Geis
CRD
2171250
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 William Geis work?

William Geis has been Director of Raymond James Financial Services Advisors, Inc since August 2026, and is a control person of the firm.

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

Does William Geis have a current investment-adviser registration?

William Geis 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 William Geis passed?

William Geis has passed 3 licensing exams: the Series 7, SIE and Series 99TO. The earliest, the Series 7, was passed in November 2002.

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
  • Brock Guice
    Secretary
  • Stephen Kruchten
    Director
  • Keith G Rust
    Director
  • Jonathan Santelli
    General Counsel
  • Andrew Zolper
    Director

Sources

  1. IAPD individual record, CRD 2171250. 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 William Geis 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.