CP
Cody Poirier
ABERDEEN FUND DISTRIBUTORS
New York, NY 10022
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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.
Rental property; NOT INVESTMENT RELATED; 15 S THROOP ST, UNIT 608, CHICAGO, IL 60607; RENTAL PROPERTY; OWNER; START:08/2011; 4HRS/MO NOT DURING TRADING HOURS; MAINTAIN PROPERTY. WTI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WTI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WTI'S BUSINESS. Rental property; not investment related; 2602 Manor Ln, Delavan, WI 53115; rental property owner; 09/2018; 2-4 hours per month; 0 during trading hours; rental property owner. WTI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WTI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WTI'S BUSINESS. BINS LLC; NOT INVESTMENT RELATED; 4640 Seely Ave, Downers Grove, IL 60515; General Merchandise Partner START: 12/01/2020 4HRS/MO NOT DURING TRADING HOURS; SUPPORT MARKETING AND OPERATIONS. WTI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WTI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WTI'S BUSINESS. Great Lakes Advisors located at 231 S. LaSalle Street 4th Floor. Chicago, IL 60604 Investment-related business. Position is Director - Midwest Region. 200 hours per month of which 120 hours per month is during securities trading hours. RESPONSIBILITIES INCLUDE SALES AND DISTRIBUTION WITHIN THE INTERMEDIARY CHANNEL. Start date of position is March 1, 2019. WTI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WTI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WTI'S BUSINESS.
CRS (Client Relationship Summary) - BD
Click below to view Cody Poirier's 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®
NoneExperience
Current
July 13, 2022 - Present
ABERDEEN FUND DISTRIBUTORS, LLC
Office #1: 875 Third Ave 4th Floor, New York, NY 10022BD
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
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/3/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 62
Date: 1/12/2005
Corporate Securities Limited Representative ExaminationSRO 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)
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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)
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.
