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Detailed Report
GEOFFREY A. SIMON
GEOFF SIMON, GEOFFREY A SIMON
CRD#: 2111628
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 ONE HARBOUR PLACE
777 S. HARBOUR ISLAND BLVD.
TAMPA, FL 33602
Registration History
19952000200520102015202020252 FIRMS1992 - 2008 (15 years)2 FIRMS2008 - Present (17 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2002 - 2004 (2 years)BPERKINS, SMITH INCORPORATED (CRD# 16187)1991 - 1992 (<1 year)
License(s)

State Registrations

B
Alabama 11/29/2017
B
Montana 10/25/2013
B
California 2/15/2008
B
New Jersey 2/15/2008
B
Colorado 2/15/2008
B
New York 2/15/2008
B
Connecticut 1/9/2024
B
North Carolina 1/5/2009
B
Florida 2/15/2008
B
Ohio 10/29/2020
IA
Florida 2/19/2008
B
Pennsylvania 7/29/2020
B
Georgia 2/15/2008
B
Texas 10/30/2019
B
Illinois 9/16/2024
IA
Texas 10/30/2019
B
Maryland 1/11/2019
B
Utah 7/23/2008
B
Massachusetts 7/19/2017
B
Virginia 2/15/2008
B
Michigan 1/11/2019
B
Wisconsin 2/15/2008
B
Minnesota 5/10/2010

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
ONE HARBOUR PLACE 777 S. HARBOUR ISLAND BLVD., TAMPA, FL 33602
Tampa, FL
Registered with this firm since 2/19/2008
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
ONE HARBOUR PLACE 777 S. HARBOUR ISLAND BLVD., TAMPA, FL 33602
Tampa, FL
Registered with this firm since 2/15/2008
Previous Registration(s)
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IA
 07/09/1992 - 02/20/2008 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) TAMPA, FL
B
 07/02/1992 - 02/20/2008 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) TAMPA, FL
B
 01/02/2002 - 12/31/2004 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MILWAUKEE, WI
B
 12/23/1991 - 04/15/1992 PERKINS, SMITH INCORPORATED (CRD#:16187) NAPLES, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.