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CP

Cody Poirier

ABERDEEN FUND DISTRIBUTORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 4885145
CP

Professional summary

Cody Poirier, who also goes by Cody Bryan Poirier, is a registered financial professional currently at ABERDEEN FUND DISTRIBUTORS, LLC located in New York, New York.

Cody is registered as a RR (Registered Representative) and started their career in finance in 2005. Cody has worked at 12 firms and has passed the Series 65, Series 66, Series 63, Series 57TO, Series 79TO, SIE, Series 7, Series 6, Series 55 and Series 62 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cody Bryan Poirier

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 Cody Poirier'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

July 13, 2022 - Present

ABERDEEN FUND DISTRIBUTORS, LLC

Office #1: 875 Third Ave 4th Floor, New York, NY 10022
BD
CRD#: 146230
New York, NY
Past

April 30, 2019 - May 25, 2022

WINTRUST INVESTMENTS LLC

RIA
CRD#: 875
CHICAGO, IL
Past

April 30, 2019 - May 25, 2022

GREAT LAKES ADVISORS, LLC

RIA
CRD#: 110757
CHICAGO, IL
Past

April 30, 2019 - May 25, 2022

WINTRUST INVESTMENTS LLC

BD
CRD#: 875
CHICAGO, IL
Past

April 4, 2018 - November 9, 2018

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO
Past

September 15, 2015 - March 23, 2018

NORTHERN TRUST INVESTMENTS, INCORPORATED

RIA
CRD#: 105780
chicago, IL
Past

September 14, 2015 - September 15, 2015

NORTHERN TRUST SECURITIES, INC.

RIA
CRD#: 7927
CHICAGO, IL
Past

May 7, 2015 - March 23, 2018

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

June 17, 2013 - April 6, 2015

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

August 30, 2010 - May 24, 2013

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
ATLANTA, GA
Past

June 1, 2010 - May 24, 2013

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

June 20, 2007 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
OAKBROOK TERRACE, IL
Past

December 18, 2006 - June 15, 2007

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

January 20, 2005 - July 18, 2006

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL

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
Alabama
(7/13/2022)
RR
Alaska
(7/13/2022)
RR
Arizona
(7/13/2022)
RR
Arkansas
(7/13/2022)
RR
California
(7/13/2022)
RR
Colorado
(7/13/2022)
RR
Connecticut
(7/13/2022)
RR
Delaware
(7/13/2022)
RR
District of Columbia
(7/13/2022)
RR
Florida
(7/13/2022)
RR
Georgia
(7/13/2022)
RR
Hawaii
(7/13/2022)
RR
Idaho
(7/13/2022)
RR
Illinois
(7/13/2022)
RR
Indiana
(7/13/2022)
RR
Iowa
(7/13/2022)
RR
Kansas
(7/13/2022)
RR
Kentucky
(7/13/2022)
RR
Louisiana
(7/13/2022)
RR
Maine
(7/13/2022)
RR
Maryland
(7/13/2022)
RR
Massachusetts
(7/13/2022)
RR
Michigan
(7/13/2022)
RR
Minnesota
(7/13/2022)
RR
Mississippi
(7/13/2022)
RR
Missouri
(7/13/2022)
RR
Montana
(7/13/2022)
RR
Nebraska
(7/13/2022)
RR
Nevada
(7/13/2022)
RR
New Hampshire
(7/13/2022)
RR
New Jersey
(7/13/2022)
RR
New Mexico
(7/13/2022)
RR
New York
(7/13/2022)
RR
North Carolina
(7/13/2022)
RR
North Dakota
(7/13/2022)
RR
Ohio
(7/14/2022)
RR
Oklahoma
(7/13/2022)
RR
Oregon
(7/13/2022)
RR
Pennsylvania
(7/13/2022)
RR
Puerto Rico
(7/13/2022)
RR
Rhode Island
(7/13/2022)
RR
South Carolina
(7/13/2022)
RR
South Dakota
(7/13/2022)
RR
Tennessee
(7/13/2022)
RR
Texas
(7/13/2022)
RR
Utah
(7/13/2022)
RR
Vermont
(7/13/2022)
RR
Virgin Islands
(7/13/2022)
RR
Virginia
(7/13/2022)
RR
Washington
(7/13/2022)
RR
West Virginia
(7/13/2022)
RR
Wisconsin
(7/13/2022)
RR
Wyoming
(7/13/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/14/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/29/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/15/2006
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 2/3/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 62
Date: 1/12/2005
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ABERDEEN FUND DISTRIBUTORS, LLC
ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230 / SEC#: , 8-67799

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1900 Market Street Suite 200, Philadelphia, PA 19103
Mailing Address
1900 Market Street Suite 200, Philadelphia, PA 19103
Phone number
(215) 405-5700
Established
Delaware since 10/31/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
ABRDN, INC.SOLE MEMBER
DUNN, STEVEN BOYDCHIEF EXECUTIVE OFFICER2203356
HETTEL, KENDRA ANNACHIEF COMPLIANCE OFFICER6164999
KIRSCHENBLATT, CHAD ETHANCHIEF FINANCIAL OFFICER/FINOP2503352

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

ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230New York, NY 10022

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