Richard J. 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.
Richard James Cody was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2008 - August 1, 2016
COMMONWEALTH CAPITAL SECURITIES CORP.
October 21, 1996 - September 14, 2006
MORGAN STANLEY DW INC.
October 15, 1996 - September 14, 2006
MORGAN STANLEY DW INC.
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
COMMONWEALTH CAPITAL SECURITIES CORP.
CRD#: 39979 / SEC#: , 8-48915
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HJA TRUST | OWNER, COMMONWEALTH CAPITAL SECURITIES CORP. | |
| ABBOTT, HENRY JOSEPH | CHAIRMAN, CEO, PRESIDENT, NON-OWNER | 2676347 |
| DOSTER, BRIAN R | DIRECTOR, TRUSTEE OF HJA TRUST, GENERAL COUNSEL, NON-OWNER | 6764205 |
| PRUETT, JAMES TRAVIS | DIRECTOR, SENIOR VICE PRESIDENT, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER, CHIEF COMPLIANCE OFFICER, NON-OWNER | 4849769 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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