Jonathan P. Cody
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.
Jonathan Peter Cody was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2002. Jonathan had worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2012 - July 16, 2026
WHITEHALL CAPITAL MARKETS LLC
October 10, 2003 - June 13, 2005
RBS SECURITIES CORPORATION
January 30, 2002 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WHITEHALL CAPITAL MARKETS LLC
CRD#: 158885 / SEC#: , 8-68936
Contact information
FINRA licenses (34 States and Territories)
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.
