Cody L. Overstreet
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 Lee Overstreet was a registered financial professional .
Cody is a previously registered financial professional and started their career in finance in 1998. Cody had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2019 - June 30, 2020
INTERNATIONAL ASSETS ADVISORY, LLC
May 4, 2016 - March 14, 2019
INTERNATIONAL ASSETS ADVISORY, LLC
January 18, 2016 - April 29, 2016
MARATHON FINANCIAL GROUP LLC
January 8, 2015 - September 1, 2015
NORTHSTAR SECURITIES, LLC
January 6, 2012 - January 12, 2015
CAREY FINANCIAL, LLC
November 30, 2011 - January 10, 2012
MANULIFE INVESTMENT MANAGEMENT (US) LLC
November 29, 2011 - January 10, 2012
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
December 4, 2008 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
January 27, 2006 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
January 18, 2006 - January 6, 2012
JOHN HANCOCK DISTRIBUTORS LLC
June 27, 2003 - December 16, 2005
LEGACY ADVISORY SERVICES, INC.
January 8, 2003 - December 16, 2005
LEGACY FINANCIAL SERVICES, INC.
September 24, 2002 - December 10, 2002
JOHN HANCOCK DISTRIBUTORS LLC
January 1, 2002 - December 10, 2002
JOHN HANCOCK DISTRIBUTORS LLC
September 11, 1998 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
