Claude C. Cody
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.
Claude Carr Cody IV was a registered financial professional .
Claude is a previously registered financial professional and started their career in finance in 1985. Claude had worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2013 - October 28, 2016
CROSSMARK GLOBAL INVESTMENTS, INC.
December 13, 2005 - December 31, 2012
ROGER H. JENSWOLD & CO., INC.
March 19, 1992 - December 18, 2003
INVESCO DISTRIBUTORS, INC.
April 8, 1991 - November 16, 1992
OCNAYR
September 3, 1985 - June 24, 1987
INVESCO DISTRIBUTORS, INC.
Primary Firm SEC Registration
CROSSMARK GLOBAL INVESTMENTS, INC.
CRD#: 113360 / SEC#: 801-17695
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
CROSSMARK GLOBAL INVESTMENTS, INC.
CRD#: 113360 / SEC#: 801-17695
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,314 |
| AUM (Assets Under Management) | $ 7,093,712,521 |
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.
