Cody C. Freeman
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 Christopher Freeman, who also goes by Cody Freeman, was a registered financial professional .
Cody is a previously registered financial professional and started their career in finance in 2016. Cody had worked at 1 firm and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2016 - November 27, 2018
LORING WARD SECURITIES 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
Current Firm
LORING WARD SECURITIES INC.
CRD#: 46337 / SEC#: , 8-51381
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LORING WARD HOLDINGS INC. | SHAREHOLDER | |
| CLINTON, MICHAEL RAY | TREASURER & CHIEF FINANCIAL OFFICER | 2721577 |
| DJEU, DEBORAH DAPHNE | CHIEF COMPLIANCE OFFICER | 2530202 |
| LEE, HOWARD HOA | CHIEF OPERATING OFFICER | 4640471 |
| LIU, NAN | FINOP | 5275954 |
| POTTS, ALEXANDER BENNETT | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1765245 |
| WONG, RAYMOND YAT CHI | MUNICIPAL SECURITIES PRINCIPAL | 4537916 |
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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