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Richard G. Cody

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CRD#: 2794558
RC

Professional summary

Richard Grant Cody was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Richard had worked at 9 firms, which includes IFS SECURITIES, CONCORDE ASSET MANAGEMENT LLC, CONCORDE INVESTMENT SERVICES LLC, WESTMINSTER FINANCIAL ADVISORY CORP, WESTMINSTER FINANCIAL SECURITIES INC., GUNNALLEN FINANCIAL INC, LEERINK PARTNERS LLC, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard G Cody

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 18, 2016 - September 12, 2016

IFS SECURITIES

BD
CRD#: 40375
Spring Lake, NJ
Past

April 30, 2014 - August 5, 2016

CONCORDE ASSET MANAGEMENT, LLC

RIA
CRD#: 140367
SPRING LAKE, NJ
Past

March 19, 2014 - August 5, 2016

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
SPRING LAKE, NJ
Past

March 29, 2010 - January 4, 2013

WESTMINSTER FINANCIAL ADVISORY CORP

RIA
CRD#: 110283
BEAVERCREEK, OH
Past

March 29, 2010 - March 1, 2013

WESTMINSTER FINANCIAL SECURITIES, INC.

BD
CRD#: 20677
PROVIDENCE, RI
Past

June 8, 2005 - March 30, 2010

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
BOSTON, MA
Past

May 27, 2005 - March 30, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
BOSTON, MA
Past

December 3, 2001 - May 31, 2005

LEERINK PARTNERS LLC

BD
CRD#: 39011
BOSTON, MA
Past

September 1, 2000 - November 27, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 27, 1997 - December 20, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/13/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/8/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/12/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/1997
General Securities Representative Examination

Current Firm

IS
IFS SECURITIES
ALZAID FINANCIAL SERVICES, INC. | INTERNATIONAL FINANCIAL SOLUTIONS, INC. | IFS SECURITIES, INC | IFS SECURITIES | IFS EQUITY | IFS CAPITAL MARKETS | IFS ADVISORY, LLC

CRD#: 40375 / SEC#: , 8-49020

BD
Terminated by SEC on 02/28/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 09/21/1993
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IFS GROUP, INC.FOREIGN ENTITY/DIRECT OWNER
MCKENZIE, ALEXYS ULANDOCEO/OWNER2642827
SADLER, JOQUINN THOMASCHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER2817763

Disclosures

Regulatory Event3
Arbitration1
Financial1

Red Flags

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Company Information

IFS SECURITIES

CRD#: 40375

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