Robert 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.
Robert Cody, who also goes by Robert Edward Cody, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 25 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
January 12, 2018 - March 29, 2018
EDWARD JONES
January 12, 2018 - March 29, 2018
EDWARD JONES
June 2, 2017 - August 9, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 2, 2017 - August 9, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 4, 2017 - April 24, 2017
LPL FINANCIAL LLC
January 3, 2017 - April 24, 2017
LPL FINANCIAL LLC
November 16, 2016 - December 5, 2016
EQUITABLE ADVISORS, LLC
April 11, 2014 - December 5, 2016
EQUITABLE ADVISORS, LLC
August 27, 2012 - March 24, 2014
LPL FINANCIAL LLC
December 15, 2008 - August 20, 2012
CITIZENS SECURITIES, INC.
May 24, 2007 - December 16, 2008
EQUITABLE ADVISORS, LLC
April 20, 2000 - February 12, 2007
SANFORD C. BERNSTEIN & CO., LLC
May 17, 1994 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
January 26, 1993 - March 11, 1994
ALEX. BROWN & SONS INCORPORATED
March 21, 1989 - January 26, 1993
FIRST MANHATTAN SECURITIES LLC
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
Series 55
Date: 3/6/2000
Limited Representative-Equity Trader ExamSeries 25
Date: 7/22/1999
NYSE Trading Assistant ExaminationCurrent Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
