CL
Cody L. Lummus
DELOS PRIVATE CLIENT GROUP
DALLAS, TX 75201
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CRD#: 5565377
CL
Cody Lee LummusDELOS PRIVATE CLIENT GROUP
Professional summary
Cody Lee Lummus, who also goes by Cody L Lummus, is a registered financial advisor currently at DELOS PRIVATE CLIENT GROUP, LLC located in Dallas, Texas.
Cody is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Cody has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Always Fiduciary
Aliases
Cody L Lummus
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.
(1) CO-TRUSTEE FOR PARENT'S TRUST; INVESTMENT RELATED; DALLAS, TX; START DATE 11/2009; 1 HR PER MONTH; 0 HRS DURING TRADING HOURS. (2) Independent Licensed insurance Agent; Investment Related; Dallas, TX; General Lines Agent: Life, Accident, Health and HMO; Start Date: 07/2020 (3) Delos Risk Management; Managing Member/Partner; Investment Related; Dallas, TX; Start Date: March 2020; 5 hrs per month; 0 hrs during trading hours; Duties: operational oversight and daily management. (4) Delos Capital Advisors; Managing Member/Partner; Investment Related; Dallas, TX; Start Date: March 2019; 20 hrs per month; 0 hrs during trading hours; Duties: operational oversight and daily management. (5) Delos Asset Management; Managing Member/Partner; Investment Related; Dallas, TX; Start Date: March 2020; 5 hrs per month; 0 hrs during trading hours; Duties: operational oversight and daily management.
CRS (Client Relationship Summary) - RIA
Click below to view Cody Lee Lummus'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
January 17, 2024 - Present
DELOS PRIVATE CLIENT GROUP, LLC
Office #1: 1845 Woodall Rodgers Fwy Suite 1000, Dallas, TX 75201RIA
CRD#: 300734
DALLAS, TX
Past
March 22, 2019 - December 31, 2023
DELOS PRIVATE CLIENT GROUP, LLC
RIA
CRD#: 300734
DALLAS, TX
Past
August 22, 2016 - March 26, 2019
LEAR INVESTMENT MANAGEMENT
RIA
CRD#: 174119
DALLAS, TX
Past
October 2, 2008 - August 24, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DALLAS, TX
Past
September 8, 2008 - August 24, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DALLAS, TX
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".
DP
DELOS PRIVATE CLIENT GROUP, LLC
DELOS CAPITAL ADVISORS | DELOS WEALTH ADVISORS, LLC | DELOS WEALTH ADVISORS | DELOS PRIVATE CLIENT GROUP, LLC | DELOS CAPITAL ADVISORS, LLC
CRD#: 300734 / SEC#: 801-119589
RIA
Registered Investment Advisory firm - (10/2/2020 Approved)Louisiana
Registered Investment Advisory firm - (10/20/2020 Terminated)Oklahoma
Registered Investment Advisory firm - (10/13/2020 Terminated)Texas
Registered Investment Advisory firm - (10/13/2020 Terminated)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
Texas(1/17/2024)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DP
DELOS PRIVATE CLIENT GROUP, LLC
DELOS CAPITAL ADVISORS | DELOS WEALTH ADVISORS, LLC | DELOS WEALTH ADVISORS | DELOS PRIVATE CLIENT GROUP, LLC | DELOS CAPITAL ADVISORS, LLC
CRD#: 300734 / SEC#: 801-119589
RIA
Registered Investment Advisory firm - (10/2/2020 Approved)Louisiana
Registered Investment Advisory firm - (10/20/2020 Terminated)Oklahoma
Registered Investment Advisory firm - (10/13/2020 Terminated)Texas
Registered Investment Advisory firm - (10/13/2020 Terminated)Loading...
Contact information
Main Address
1845 Woodall Rodgers Fwy Suite 1000, Dallas, TX 75201
Mailing Address
Phone number
(972) 810-1610
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 382 |
| AUM (Assets Under Management) | $ 185,578,593 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DELOS PRIVATE CLIENT GROUP, LLC
CRD#: 300734Dallas, TX 75201TRUST BUT VERIFY
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