William A. Veit
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.
William Arthur Veit, who also goes by Bill Veit, William A Veit, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2014 - May 2, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 15, 2000 - May 2, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 13, 1991 - September 19, 2000
FOX & COMPANY INVESTMENTS INC.
August 29, 1990 - June 28, 1991
MASON, HUNT & CO., INC.
March 25, 1988 - September 6, 1990
KIDDER, PEABODY & CO. INCORPORATED
May 14, 1983 - March 31, 1988
PRUDENTIAL EQUITY GROUP, LLC
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
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.
