Cody L. Naumann
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.
Cody L. Naumann, who also goes by Cody L Naumann, Cody Lee Naumann, was a registered financial professional .
Cody is a previously registered financial professional and started their career in finance in 1995. Cody had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2013 - December 16, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
October 31, 2013 - December 16, 2013
BBVA SECURITIES INC.
February 13, 2013 - October 4, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - October 4, 2013
RAYMOND JAMES & ASSOCIATES, INC.
April 14, 2012 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
April 2, 2012 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
March 13, 2007 - February 4, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 29, 2000 - November 3, 2003
MOMENTUM INDEPENDENT NETWORK INC.
January 12, 2000 - June 26, 2000
METROPOLITAN LIFE INSURANCE COMPANY
January 12, 2000 - June 26, 2000
MSI FINANCIAL SERVICES, INC.
March 23, 1995 - May 9, 1997
METROPOLITAN LIFE INSURANCE COMPANY
March 23, 1995 - May 9, 1997
MSI FINANCIAL SERVICES, 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
PNC MANAGED ACCOUNT SOLUTIONS, INC.
CRD#: 110476 / SEC#: 801-56131
Contact information
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 588,442,024 |
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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