Cody N. Chapman

THOMPSON SIEGEL & WALMSLEY LLC

Atlanta, GA

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CRD#: 5485112

Professional summary

Cody Neal Chapman is a registered financial advisor currently at THOMPSON SIEGEL & WALMSLEY LLC located in Atlanta, Georgia.

Cody is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Cody has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Cody Neal Chapman'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

January 2, 2024 - Present

THOMPSON SIEGEL & WALMSLEY LLC

RIA

CRD#: 105726

Atlanta, GA

Past

December 6, 2021 - January 2, 2024

PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 117962

EDINA, MN

Past

January 7, 2009 - May 18, 2011

FINTRUST CAPITAL ADVISORS, LLC

RIA

CRD#: 145460

ATHENS, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THOMPSON SIEGEL & WALMSLEY LLC

THOMPSON SIEGEL & WALMSLEY INC | WPS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | WPS CAPITAL FUND, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | THOMPSON, SIEGEL & WALMSLEY | THOMPSON SIEGEL & WALMSLEY LLC

CRD#: 105726 / SEC#: 801-6273

RIA

Registered Investment Advisory firm - (1/17/1970 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(1/31/2024)

IAR

Virginia
(1/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/5/2008

Uniform Investment Adviser Law Examination

Current Firm

THOMPSON SIEGEL & WALMSLEY LLC

CRD#: 105726 / SEC#: 801-6273

RIA

Registered Investment Advisory firm - (1/17/1970 Approved)

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Contact information

Main Address

6641 West Broad Street Suite 600, Richmond, VA 23230

Mailing Address

Phone number

(804) 353-4500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TSW FORM ADV PART 2A (12/3/2024)

Regulatory assets under management

Total Number of Accounts	4,775
AUM (Assets Under Management)	$ 20,812,400,000

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.

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Cody N. Chapman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cody Neal Chapman's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOMPSON SIEGEL & WALMSLEY LLC

PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.

FINTRUST CAPITAL ADVISORS, LLC

Primary Firm SEC Registration

THOMPSON SIEGEL & WALMSLEY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2008

Current Firm

THOMPSON SIEGEL & WALMSLEY LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THOMPSON SIEGEL & WALMSLEY LLC

TRUST BUT VERIFY

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