Codie J. Thomas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Codie Jamison Thomas was a registered financial professional .
Codie is a previously registered financial professional and started their career in finance in 2010. Codie had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2022 - July 9, 2025
ADVUS FINANCIAL PARTNERS, LLC
June 30, 2021 - May 23, 2022
VISTA MANAGEMENT COMPANY
August 29, 2014 - October 26, 2020
GWN SECURITIES INC.
March 16, 2012 - August 28, 2014
INTERNATIONAL ASSETS ADVISORY, LLC
October 3, 2011 - December 14, 2011
G.F. INVESTMENT SERVICES, LLC
September 9, 2010 - September 14, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
ADVUS FINANCIAL PARTNERS, LLC
CRD#: 311990 / SEC#: 801-120458
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
Current Firm
ADVUS FINANCIAL PARTNERS, LLC
CRD#: 311990 / SEC#: 801-120458
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,276 |
| AUM (Assets Under Management) | $ 3,066,675,906 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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