Timothy M. Cody
Professional summary
Timothy Michael Cody, who also goes by Timothy Cody, Tim Cody, Timothy Michael Cody, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Timothy has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Michael Cody's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 3, 2021 - Present
VANGUARD ADVISERS, INC.
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262September 3, 2021 - Present
VANGUARD MARKETING CORPORATION
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262January 11, 2021 - July 27, 2021
ALLY INVEST SECURITIES LLC
March 4, 2020 - November 24, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 2020 - November 24, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
January 27, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 10, 2009 - February 26, 2018
SCOTTRADE, INC.
October 13, 2006 - March 24, 2009
LPL FINANCIAL LLC
October 13, 2006 - March 24, 2009
LPL FINANCIAL LLC
March 8, 2006 - August 26, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2005 - August 26, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/3/2021)
(9/3/2021)
(9/3/2021)
Exams
FINRA
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
