Jody L. Corwin
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.
Jody Lea Corwin was a registered financial professional .
Jody is a previously registered financial professional and started their career in finance in 2000. Jody had worked at 6 firms and has passed the Series 65, Series 63, SIE, 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
August 29, 2017 - July 1, 2022
MUTUAL SECURITIES, INC.
August 25, 2017 - June 10, 2025
DYNAMIC FINANCIAL GROUP
June 14, 2013 - August 28, 2017
CETERA ADVISORS LLC
June 14, 2013 - August 28, 2017
CETERA ADVISORS LLC
December 18, 2009 - June 20, 2013
LPL FINANCIAL LLC
December 18, 2009 - June 20, 2013
LPL FINANCIAL LLC
April 20, 2006 - December 18, 2009
CETERA WEALTH SERVICES, LLC
March 27, 2003 - December 18, 2009
CETERA WEALTH SERVICES, LLC
February 16, 2000 - March 31, 2003
LOCUST STREET SECURITIES, 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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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