Cody R. Thelen
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 Ray Thelen was a registered financial professional .
Cody is a previously registered financial professional and started their career in finance in 2014. Cody had worked at 3 firms and has passed the Series 66, SIE, Series 50 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
August 2, 2016 - January 3, 2020
PMA SECURITIES, LLC
April 17, 2015 - July 20, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
April 17, 2015 - July 20, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
December 11, 2014 - April 10, 2015
PRUCO SECURITIES, LLC.
August 25, 2014 - November 18, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
July 29, 2014 - November 18, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
PMA SECURITIES, LLC
CRD#: 30397 / SEC#: , 8-44905
Contact information
FINRA licenses (23 States and Territories)
Documents
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.
