Cody L. Ward

CAPITAL ANALYSTS

Walpole, MA

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CRD#: 6363352

Professional summary

Cody Lee Ward, CFP® is a registered financial advisor currently at CAPITAL ANALYSTS located in Walpole, Massachusetts and LINCOLN INVESTMENT located in Walpole, Massachusetts.

Cody is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Cody has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

WALPOLE CHAMBER OF COMMERCE POSITION: Director NATURE: Civic INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2024 ADDRESS: 944 Main St, Walpole MA 02081, United States DESCRIPTION: Discuss programming and initiatives for businesses that serve the community of Walpole.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cody Lee Ward's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

October 8, 2019 - Present

CAPITAL ANALYSTS

RIA

CRD#: 162200

Walpole, MA

Current

October 1, 2019 - Present

LINCOLN INVESTMENT

RIA

CRD#: 519

Walpole, MA

Past

January 29, 2019 - October 2, 2019

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

BRIGHTON, MA

Past

May 2, 2016 - October 2, 2019

CITIZENS SECURITIES, INC.

CRD#: 39550

BRIGHTON, MA

Past

October 4, 2014 - December 3, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

WALTHAM, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL ANALYSTS

CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(10/1/2019)

IAR

Massachusetts
(10/8/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/29/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/19/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/4/2014

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL ANALYSTS

CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

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Contact information

Main Address

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232

Mailing Address

Phone number

(800) 242-1421

Established

Firm type

Fiscal year end

# of Employees

739

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL ANALYSTS, LLC FORM ADV PART 2A BROCHURE (8/13/2025)

CAPITAL ANALYSTS, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

Regulatory assets under management

Total Number of Accounts	26,578
AUM (Assets Under Management)	$ 8,713,202,466

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2024	Cover Page	Report
09/27/2023	Cover Page	Report
03/29/2023	Cover Page	Report

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.

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Firm Stability Insights

Cody L. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cody Lee Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN INVESTMENT

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

CAPITAL ANALYSTS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/29/2019

Series 63

Date: 4/19/2016

SIE

Date: 10/1/2018

Series 6

Date: 10/4/2014

FINRA

Current Firm

CAPITAL ANALYSTS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL ANALYSTS

TRUST BUT VERIFY

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