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Cody W. Hunter

RIDGEBACK SECURITIES, LTD
Houston, TX 77002-8841
Some features on this profile are disabled
CRD#: 2451900
CH

Professional summary

Cody Wayne Hunter, who also goes by Cody W. Hunter, Cody Hunter, is a registered financial professional currently at RIDGEBACK SECURITIES, LTD located in Houston, Texas.

Cody is registered as a RR (Registered Representative) and started their career in finance in 1995. Cody has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cody W. Hunter | Cody Hunter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cody Wayne Hunter's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 18, 2013 - Present

RIDGEBACK SECURITIES, LTD

Office #1: 1218 Webster Street, Houston, TX 77002-8841
BD
CRD#: 120448
Houston, TX
Past

October 9, 2024 - September 17, 2025

THE BALDWIN GROUP WEALTH ADVISORS, LLC

RIA
CRD#: 312284
HOUSTON, TX
Past

August 19, 2022 - March 22, 2023

BV SECURITIES, LLC

BD
CRD#: 103800
DALLAS, TX
Past

August 12, 2022 - October 4, 2024

BKS RETIREMENT SERVICES

RIA
CRD#: 304266
Houston, TX
Past

August 12, 2022 - March 10, 2025

EMERGENT CAPITAL ADVISORS, LLC

RIA
CRD#: 156112
HOUSTON, TX
Past

January 3, 1997 - July 3, 2002

ONE ORCHARD EQUITIES, INC.

BD
CRD#: 42124
GREENWOOD VILLAGE, CO
Past

August 16, 1995 - January 3, 1997

THE GREAT-WEST LIFE ASSURANCE COMPANY

BD
CRD#: 5927
ENGLEWOOD, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(1/25/2013)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/12/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/24/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/17/2013
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RIDGEBACK SECURITIES, LTD
MID-CONTINENT SECURITIES ADVISORS, LTD. | RIDGEBACK SECURITIES, LTD | MID-CONTINENT SECURITIES, LTD.

CRD#: 120448 / SEC#: , 8-65298

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1218 Webster Street, Houston, TX 77002-8841
Mailing Address
1218 Webster Street, Houston, TX 77002-8841
Phone number
(713) 289-6200
Established
Texas since 04/01/2002
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE RIDGEBACK GROUP, INCLIMITED PARTNER
CAPITAL FINANCIAL GROUP, INC.LIMITED PARTNER
BRISTOW, BRIAN BRUCECHIEF OPERATING OFFICER3151921
CONNOLLY, BRENDAN MACKEYCHIEF COMPLIANCE OFFICER4352883
MCSALGP, LLCGENERAL PARTNER
VANPELT, WILLIAM HENRY IVPRESIDENT, FINOP, MANAGER, SECRETARY, TREASURER1716622

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.

Company Information

RIDGEBACK SECURITIES, LTD

CRD#: 120448Houston, TX 77002-8841

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