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CH

Cody W. Hooten

Some features on this profile are disabled
CRD#: 6217736
CH

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 Hooten, who also goes by Cody W Hooten, was a registered financial professional .

Cody is a previously registered financial professional and started their career in finance in 2013. Cody had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cody W Hooten

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 31, 2025 - March 2, 2026

TPG CAPITAL BD, LLC

BD
CRD#: 143876
FORT WORTH, TX
Past

August 16, 2022 - January 14, 2025

APOLLON WEALTH MANAGEMENT, LLC

RIA
CRD#: 291902
ARYGLE, TX
Past

January 5, 2021 - July 29, 2022

ROBINHOOD FINANCIAL, LLC

BD
CRD#: 165998
Westlake, TX
Past

May 19, 2020 - December 10, 2020

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
DALLAS, TX
Past

May 19, 2020 - December 10, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
DALLAS, TX
Past

April 3, 2018 - January 18, 2019

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA
CRD#: 106693
DALLAS, TX
Past

April 3, 2018 - January 18, 2019

MERCER ALLIED COMPANY, L.P.

BD
CRD#: 37404
DALLAS, TX
Past

November 1, 2017 - April 6, 2018

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
IRVING, TX
Past

March 6, 2015 - March 1, 2018

UNITED CAPITAL FINANCIAL ADVISORS

RIA
CRD#: 134600
IRVING, TX
Past

January 6, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

BD
CRD#: 18697
IRVING, TX
Past

September 6, 2013 - December 19, 2014

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WESTLAKE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/6/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/13/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/31/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/6/2013
General Securities Representative Examination

Current Firm

TC
TPG CAPITAL BD, LLC
TPG CAPITAL BD, LLC

CRD#: 143876 / SEC#: , 8-67616

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
301 Commerce Street Ste 3300, Fort Worth, TX 76102
Mailing Address
301 Commerce Street Ste 3300, Fort Worth, TX 76102
Phone number
(817) 871-4000
Established
Texas since 03/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TPG BD ADVISORS, LLCSOLE MEMBER
DAVIDSON, MARTIN LOUISFINOP AND PRINCIPAL FINANCIAL OFFICER5330788
UMAYAM, MICHAELCHIEF COMPLIANCE OFFICER6814011
WEINGART, JACK CHARLESCEO1879144

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.

Company Information

TPG CAPITAL BD, LLC

CRD#: 143876

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