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Secretary · Raymond James Financial Services Advisors, Inc

Brock A. Guice

CRD 2898784 · Named on Form ADV at one SEC-registered adviser

At a glance

Raymond James Financial Services Advisors, Inc, an SEC-registered wealth manager based in Saint Petersburg, FL with $390.0 billion in regulatory assets, lists Brock A. Guice on its Form ADV as Secretary, a control person.

Firms and roles

AtlasMembers

Brock’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (11)

  • Scott CurtisDirector, Raymond James Financial Services Advisors, Inc
  • Jonathan SantelliGeneral Counsel, Raymond James Financial Services Advisors, Inc
  • Philip Roger MartinRIA Chief Compliance Officer, Raymond James Financial Services Advisors, Inc
  • Keith G RustDirector, Raymond James Financial Services Advisors, Inc
  • Tashtego Spring ElwynDirector; Chairman of the Board; President; Chief Executive Officer, Raymond James Financial Services Advisors, Inc

6 more people named with Brock on the same filings, with titles and firms. Free in Atlas with a free account.

See all 11 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Brock’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.