Lewis N. Geeslin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lewis Nicholas Geeslin, who also goes by Nick Geeslin, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1983. Lewis had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - June 29, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 12, 2000 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 12, 2000 - June 29, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 23, 1998 - May 26, 2000
J.C. BRADFORD & CO.
May 14, 1992 - March 2, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
June 4, 1985 - April 22, 1992
RAUSCHER PIERCE REFSNES, INC.
March 1, 1983 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 1/26/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
