Cody W. Mckinney
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.
Cody William Mckinney was a registered financial professional .
Cody is a previously registered financial professional and started their career in finance in 2013. Cody had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2016 - September 29, 2021
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
December 20, 2016 - September 29, 2021
NYLIFE DISTRIBUTORS LLC
March 29, 2016 - November 29, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 29, 2016 - November 29, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 28, 2016 - March 21, 2016
MORGAN STANLEY
May 11, 2015 - March 21, 2016
MORGAN STANLEY
April 23, 2013 - April 2, 2015
TFS DERIVATIVES LLC
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
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
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
