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CW

Cody M. Winter

Some features on this profile are disabled
CRD#: 6497498
CW

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 Michael Winter, who also goes by Cody Michael Winter, 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 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cody Michael Winter

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

April 19, 2022 - November 6, 2025

NORTHSTAR INVESTMENT ADVISORY LLC

RIA
CRD#: 315965
Sodus Point, NY
Past

November 20, 2018 - November 15, 2021

DELPHINUS FINANCIAL ADVISORS, LLC

RIA
CRD#: 152952
FOXBORO, MA
Past

January 22, 2016 - November 28, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
BOSTON, 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".
NI
NORTHSTAR INVESTMENT ADVISORY LLC
NORTHSTAR INVESTMENT ADVISORY LLC

CRD#: 315965 / SEC#: 801-122824

RIA
Registered Investment Advisory firm - (12/7/2021 Approved)

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
RR
Series 63
Date: 5/9/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/22/2016
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NI
NORTHSTAR INVESTMENT ADVISORY LLC
NORTHSTAR INVESTMENT ADVISORY LLC

CRD#: 315965 / SEC#: 801-122824

RIA
Registered Investment Advisory firm - (12/7/2021 Approved)
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Contact information

Main Address
8605 Santa Monica Blvd Pmb 65044, West Hollywood, CA 90069
Mailing Address
Phone number
(310) 896-8197
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (48 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NORTHSTAR ADV PART 2A OCTOBER 24, 2025 (10/24/2025)

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

NORTHSTAR INVESTMENT ADVISORY LLC

CRD#: 315965

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