David H. 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.
David Hackett Cody was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 5 firms and has passed the Series 63, Series 7TO, 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
June 3, 2019 - January 19, 2021
GALAXY DIGITAL PARTNERS LLC
May 22, 2001 - February 22, 2002
BANC OF AMERICA SECURITIES LLC
June 7, 1999 - July 16, 1999
DEUTSCHE BANK SECURITIES INC.
December 10, 1997 - June 7, 1999
DB ALEX. BROWN LLC
May 27, 1994 - June 14, 1996
JEFFERIES LLC
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 7TO
Date: 6/3/2019
General Securities Representative ExaminationCurrent Firm
GALAXY DIGITAL PARTNERS LLC
CRD#: 289605 / SEC#: , 8-70001
Contact information
FINRA licenses (53 States and Territories)
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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