Cody Kippenberger
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 Kippenberger, who also goes by Cody Scott Kippenberger, was a registered financial professional .
Cody is a previously registered financial professional and started their career in finance in 2018. Cody had worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2021 - August 20, 2024
FORESIDE FUND SERVICES, LLC
February 19, 2021 - July 23, 2021
SUNCOAST EQUITY MANAGEMENT, LLC
February 27, 2020 - September 25, 2020
DUNHAM
February 27, 2020 - September 25, 2020
DUNHAM
July 25, 2019 - October 2, 2019
PRUCO SECURITIES, LLC.
July 24, 2019 - October 2, 2019
PRUCO SECURITIES, LLC.
July 10, 2019 - July 26, 2019
EQUITABLE ADVISORS, LLC
December 7, 2018 - June 20, 2019
SKYWAY CAPITAL MARKETS, LLC
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
Series 7TO
Date: 12/7/2018
General Securities Representative ExaminationCurrent Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
