Ogden L. Coody
Professional summary
Ogden Lavelle Coody was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ogden is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Ogden had worked at 5 firms, which includes NEW ENGLAND SECURITIES, OSAIC WEALTH INC., PRUCO SECURITIES LLC., INTEGRATED RESOURCES EQUITY CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 1990 - June 24, 1992
NEW ENGLAND SECURITIES
November 19, 1989 - June 3, 2005
OSAIC WEALTH, INC.
October 25, 1983 - March 29, 1988
PRUCO SECURITIES, LLC.
July 29, 1982 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 9, 1982 - September 2, 1982
PRUCO SECURITIES, LLC.
August 7, 1973 - September 2, 1982
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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 1
Date: 8/1/1973
Registered Representative ExaminationCurrent Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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