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JC

Jonathan P. Cody

WHITEHALL CAPITAL MARKETS LLC
New York, NY 10007
Some features on this profile are disabled
CRD#: 4405357
JC

Professional summary

Jonathan Peter Cody is a registered financial professional currently at WHITEHALL CAPITAL MARKETS LLC located in New York, New York.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2002. Jonathan has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Jonathan Peter Cody's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 12, 2012 - Present

WHITEHALL CAPITAL MARKETS LLC

Office #1: One World Trade Center 84th Floor, New York, NY 10007
BD
CRD#: 158885
New York, NY
Past

October 10, 2003 - June 13, 2005

RBS SECURITIES CORPORATION

BD
CRD#: 118936
NEW YORK, NY
Past

January 30, 2002 - December 31, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(7/27/2022)
RR
Connecticut
(11/8/2018)
RR
Florida
(11/15/2018)
RR
Illinois
(11/8/2018)
RR
Louisiana
(3/11/2020)
RR
Massachusetts
(11/8/2018)
RR
Missouri
(5/30/2019)
RR
New Jersey
(11/8/2018)
RR
New York
(6/7/2018)
RR
Ohio
(10/5/2017)
RR
Oklahoma
(7/23/2019)
RR
Texas
(6/7/2018)
RR
West Virginia
(10/21/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/7/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/6/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WHITEHALL CAPITAL MARKETS LLC
WHITEHALL CAPITAL MARKETS LLC

CRD#: 158885 / SEC#: , 8-68936

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One World Trade Center 84th Floor, New York, NY 10007
Mailing Address
One World Trade Center 84th Floor, New York, NY 10007
Phone number
(212) 205-1399
Established
Delaware since 05/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WHITEHALL & COMPANY LLCSOLE MEMBER
CODY, JONATHAN PETERMANAGING DIRECTOR, CFO4405357
EFREM, KATHY KHATINAFINOP3248100
PAGE, TIMOTHY ANDREWMANAGING DIRECTOR, CCO2998752

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.

Company Information

WHITEHALL CAPITAL MARKETS LLC

CRD#: 158885New York, NY 10007

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