John W. Codling
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.
John William Codling was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 7 firms and has passed the Series 63 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
November 16, 2011 - February 14, 2012
LEGEND SECURITIES, INC.
October 7, 2009 - June 15, 2010
TULLETT PREBON FINANCIAL SERVICES LLC
March 26, 2009 - April 21, 2010
PREBON FINANCIAL PRODUCTS INC.
July 25, 2006 - February 2, 2009
LEGEND SECURITIES, INC.
April 27, 2006 - July 25, 2006
NATIONAL SECURITIES CORPORATION
July 7, 2004 - May 11, 2006
WESTROCK ADVISORS, INC.
January 31, 2000 - August 9, 2000
DIRKS & COMPANY, INC.
September 27, 1999 - October 5, 1999
BGC FINANCIAL, L.P.
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
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
