Cody M. Winters
Professional summary
Cody Max Winters was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cody is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Cody had worked at 3 firms, which includes THE PATRIOT GROUP SECURITIES, REEF SECURITIES INC., M & W FINANCIAL INC..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2010 - October 22, 2010
THE PATRIOT GROUP SECURITIES
August 11, 2009 - December 15, 2009
REEF SECURITIES, INC.
January 1, 2007 - June 17, 2009
M & W FINANCIAL INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE PATRIOT GROUP SECURITIES
CRD#: 137904 / SEC#: , 8-67130
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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