Patricia L. Landis
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.
Patricia Lynn Landis, who also goes by Patricia Lynn Geary, Patricia Lynn Massie, Patricia Lynn Tatich, Patricia Lynne Wilmore, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1977. Patricia had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2010 - December 31, 2019
RAYMOND JAMES & ASSOCIATES, INC.
July 8, 1992 - November 8, 2010
HILLTOP SECURITIES INC.
December 3, 1991 - July 9, 1992
HEIDTKE & COMPANY, INC.
March 18, 1991 - December 5, 1991
H. L. CAMP & COMPANY, INC.
February 11, 1988 - June 6, 1989
DAIN RAUSCHER INCORPORATED
January 6, 1987 - February 12, 1988
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
April 13, 1981 - January 2, 1987
KIDDER, PEABODY & CO. INCORPORATED
January 31, 1980 - May 10, 1981
UBS FINANCIAL SERVICES INC.
December 7, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 22, 1978 - November 3, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
October 3, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
