H. L. Cody
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.
H. Leroy Cody JR, who also goes by Henry Leroy Cody Jr, Leroy Cody, was a registered financial professional .
H. is a previously registered financial professional and started their career in finance in 1987. H. had worked at 8 firms and has passed the Series 66, SIE, Series 31, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2005 - April 14, 2015
LAZARD ASSET MANAGEMENT SECURITIES LLC
August 5, 1993 - July 22, 2005
IDS LIFE INSURANCE COMPANY
August 5, 1993 - July 22, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 1991 - July 9, 1993
NEW ENGLAND SECURITIES
April 27, 1989 - April 23, 1990
LEHMAN GOVERNMENT SECURITIES INC.
November 14, 1988 - April 23, 1990
LEHMAN SPECIAL SECURITIES INC.
November 27, 1987 - April 23, 1990
LEHMAN BROTHERS INC.
August 27, 1987 - November 17, 1987
FIRST OPTIONS OF CHICAGO, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LAZARD ASSET MANAGEMENT SECURITIES LLC
CRD#: 129119 / SEC#: , 8-66201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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.
