Dawn M. 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.
Dawn Marie Cody, who also goes by Dawn Marie Beyer, Dawn Cody, Dawn Marie Lerback, Dawn Marie Vassar, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 2012. Dawn had worked at 2 firms and has passed the Series 65, Series 63, Series 6TO, 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
March 5, 2013 - August 3, 2020
HEARTLAND ADVISORS, INC.
August 22, 2012 - July 31, 2020
ALPS DISTRIBUTORS, INC.
Primary Firm SEC Registration
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
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 6TO
Date: 12/22/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
Contact information
SEC notice filing (17 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 1,885,901,565 |
Disclosures
| Regulatory Event | 3 |
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.
