Cody Alexander Stapleton
AIF®Professional Summary
Cody Alexander Stapleton, AIF®, who also goes by Cody Alexander Stapleton, Cody A Stapleton, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Chillicothe, Ohio. Cody is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Cody has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cody Alexander Stapleton, Cody A Stapleton
Similar Advisors
DWS DISTRIBUTORS, INC.
EDWARD JONES
EDELMAN FINANCIAL ENGINES
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
DWS DISTRIBUTORS, INC.
EDWARD JONES
EDELMAN FINANCIAL ENGINES
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
DWS DISTRIBUTORS, INC.
EDWARD JONES
EDELMAN FINANCIAL ENGINES
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
DWS DISTRIBUTORS, INC.
EDWARD JONES
EDELMAN FINANCIAL ENGINES
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Credentials
Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
DWS DISTRIBUTORS, INC.
EDWARD JONES
EDELMAN FINANCIAL ENGINES
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Current Firm
INTERNATIONAL FINANCIAL SERVICES CAPITAL CORPORATION | MONEY CONCEPTS CAPITAL CORP | MONEY CONCEPTS ADVISORY SERVICE
Contact Information
Main Address
11440 Jog Road, Palm Beach Gardens, FL 33418Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Phone Number
(561) 472-2000Established
Florida since 06/23/1982Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
478SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | — |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory Assets Under Management
Total Number of Accounts
17,032AUM (Assets Under Management)
$4,067,994,442Disclosures
Regulatory Event
8Arbitration
3Similar Advisors
DWS DISTRIBUTORS, INC.
EDWARD JONES
EDELMAN FINANCIAL ENGINES
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
DWS DISTRIBUTORS, INC.
EDWARD JONES
EDELMAN FINANCIAL ENGINES
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Primary Firm SEC Registration
INTERNATIONAL FINANCIAL SERVICES CAPITAL CORPORATION | MONEY CONCEPTS CAPITAL CORP | MONEY CONCEPTS ADVISORY SERVICE
State Registrations and Notice Filings
(9/3/2021)
(9/3/2021)
(9/3/2021)
(6/14/2024)
(6/2/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
DWS DISTRIBUTORS, INC.
EDWARD JONES
EDELMAN FINANCIAL ENGINES
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Cody Alexander Stapleton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cody Alexander Stapleton's CRS (Customer Relationship Summary).
Similar Advisors
DWS DISTRIBUTORS, INC.
EDWARD JONES
EDELMAN FINANCIAL ENGINES
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC