Edmund J. Cody
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.
Edmund Joseph Cody, who also goes by Edmund Joseph Cody Jr, was a registered financial professional .
Edmund is a previously registered financial professional and started their career in finance in 1970. Edmund had worked at 39 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2015 - July 1, 2015
NATIONAL PLANNING CORPORATION
January 16, 2015 - July 1, 2015
NATIONAL PLANNING CORPORATION
May 6, 2014 - May 29, 2014
SIGNATOR INVESTORS, INC.
April 15, 2014 - May 29, 2014
SIGNATOR INVESTORS, INC.
August 20, 2013 - October 21, 2013
CHELSEA FINANCIAL SERVICES
April 4, 2013 - June 25, 2013
FORESTERS ADVISORY SERVICES, LLC
March 28, 2013 - June 24, 2013
FORESTERS FINANCIAL SERVICES, INC.
May 3, 2012 - February 21, 2013
VALIC FINANCIAL ADVISORS, INC.
May 2, 2012 - February 21, 2013
VALIC FINANCIAL ADVISORS, INC.
May 31, 2011 - May 25, 2012
THE RETIREMENT GROUP, LLC
February 17, 2011 - April 27, 2012
FSC SECURITIES CORPORATION
September 28, 2006 - February 11, 2011
QA3 FINANCIAL CORP.
February 15, 2005 - April 13, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
December 2, 2004 - April 13, 2005
IDS LIFE INSURANCE COMPANY
December 2, 2004 - April 13, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
February 11, 2004 - May 8, 2004
QUICK & REILLY, INC.
October 3, 2003 - January 26, 2004
GREAT NORTHERN FINANCIAL SECURITIES, INC.
June 5, 2003 - October 15, 2003
CUNA BROKERAGE SERVICES, INC.
February 5, 2003 - April 4, 2003
CITICORP INVESTMENT SERVICES
July 24, 2002 - February 5, 2003
CAL FED INVESTMENTS
May 10, 2001 - July 8, 2002
CUNA BROKERAGE SERVICES, INC.
January 22, 2001 - May 24, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 29, 1999 - November 8, 2000
PILLAR FINANCIAL SERVICES, INC.
April 13, 1999 - November 11, 1999
OSAIC WEALTH, INC.
March 20, 1998 - August 19, 1998
FSC SECURITIES CORPORATION
July 2, 1997 - September 19, 1997
INTERFIRST CAPITAL CORPORATION
June 17, 1996 - February 12, 1997
FIMCO SECURITIES GROUP, INC.
December 19, 1995 - May 3, 1996
ALAMO CAPITAL
September 20, 1993 - December 15, 1995
WELLS FARGO SECURITIES INC.
April 11, 1992 - September 20, 1993
MARKETING ONE SECURITIES, INC.
December 6, 1991 - April 10, 1992
LEHMAN BROTHERS INC.
May 28, 1991 - December 10, 1991
GRUNTAL & CO., L.L.C.
November 28, 1990 - May 13, 1991
ROSE SECURITIES CORPORATION
January 22, 1990 - May 23, 1990
MORGAN STANLEY DW INC.
September 28, 1989 - February 13, 1990
LASALLE ST SECURITIES, L.L.C.
August 25, 1989 - October 14, 1989
PRUDENTIAL EQUITY GROUP, LLC
May 3, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
July 26, 1984 - February 25, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 12, 1981 - September 10, 1984
J.P. MORGAN SECURITIES LLC
September 6, 1979 - July 29, 1981
R. H. MOULTON & CO.
September 3, 1975 - August 11, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 23, 1975 - September 1, 1975
WEDBUSH SECURITIES INC.
September 16, 1972 - June 14, 1973
BACHE & CO INCORPORATED
July 8, 1971 - November 18, 1972
HAYDEN STONE INC.
January 9, 1970 - July 12, 1971
F S SMITHERS & CO INC
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: 7/14/1966
Registered Representative ExaminationCurrent Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
