CD
Cody Drummond
ROBINHOOD FINANCIAL
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6655194
CD
Professional summary
Cody Drummond, who also goes by Cody Ryan Drummond, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Chicago, Illinois.
Cody is registered as a RR (Registered Representative) and started their career in finance in 2016. Cody has worked at 4 firms and has passed the Series 66, Series 63, Series 3, Series 57TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cody Ryan Drummond
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.
CRS (Client Relationship Summary) - BD
Click below to view Cody Drummond's 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®
NoneExperience
Current
April 7, 2021 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 151 N Franklin St Floor 29, Chicago, IL 60606BD
CRD#: 165998
Chicago, IL
Past
June 1, 2020 - February 4, 2021
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
EL SEGUNDO, CA
Past
June 1, 2020 - February 4, 2021
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
EL SEGUNDO, CA
Past
October 25, 2018 - June 8, 2020
MORGAN STANLEY
RIA
CRD#: 149777
BEVERLY HILLS, CA
Past
October 25, 2018 - June 8, 2020
MORGAN STANLEY
BD
CRD#: 149777
BEVERLY HILLS, CA
Past
June 9, 2017 - June 11, 2018
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Phoenix, AZ
Past
October 18, 2016 - June 11, 2018
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Phoenix, AZ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/7/2021)
RR
Alaska(4/7/2021)
RR
Arizona(4/7/2021)
RR
Arkansas(4/7/2021)
RR
California(4/7/2021)
RR
Colorado(4/7/2021)
RR
Connecticut(4/7/2021)
RR
Delaware(4/7/2021)
RR
District of Columbia(4/7/2021)
RR
Florida(4/7/2021)
RR
Georgia(4/7/2021)
RR
Hawaii(4/7/2021)
RR
Idaho(4/7/2021)
RR
Illinois(4/7/2021)
RR
Indiana(4/7/2021)
RR
Iowa(4/7/2021)
RR
Kansas(4/7/2021)
RR
Kentucky(4/7/2021)
RR
Louisiana(4/7/2021)
RR
Maine(4/7/2021)
RR
Maryland(4/7/2021)
RR
Massachusetts(4/7/2021)
RR
Michigan(4/7/2021)
RR
Minnesota(4/7/2021)
RR
Mississippi(4/7/2021)
RR
Missouri(4/7/2021)
RR
Montana(4/7/2021)
RR
Nebraska(4/7/2021)
RR
Nevada(4/7/2021)
RR
New Hampshire(4/7/2021)
RR
New Jersey(4/7/2021)
RR
New Mexico(4/7/2021)
RR
New York(4/7/2021)
RR
North Carolina(4/7/2021)
RR
North Dakota(4/7/2021)
RR
Ohio(4/7/2021)
RR
Oklahoma(4/7/2021)
RR
Oregon(4/7/2021)
RR
Pennsylvania(4/7/2021)
RR
Puerto Rico(4/7/2021)
RR
Rhode Island(4/7/2021)
RR
South Carolina(4/7/2021)
RR
South Dakota(4/7/2021)
RR
Tennessee(4/7/2021)
RR
Texas(4/7/2021)
RR
Utah(4/7/2021)
RR
Vermont(4/7/2021)
RR
Virgin Islands(4/7/2021)
RR
Virginia(4/7/2021)
RR
Washington(4/7/2021)
RR
West Virginia(4/7/2021)
RR
Wisconsin(4/7/2021)
RR
Wyoming(4/7/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 57TO
Date: 9/1/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
