Cody T. Okeefe
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 Taylor Okeefe, who also goes by Cody Taylor O'keefe, was a registered financial professional .
Cody is a previously registered financial professional and started their career in finance in 2016. Cody had worked at 3 firms and has passed the Series 66, 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
January 27, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 21, 2016 - March 9, 2018
SCOTTRADE, INC.
July 19, 2016 - October 26, 2016
EDWARD JONES
March 3, 2016 - October 26, 2016
EDWARD JONES
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
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
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.
