Brian E. Code

CODE WAECHTER LLC

Tampa, FL 33609

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CRD#: 872219

Professional summary

Brian Edward Code, CFP®, who also goes by Brian E Code, is a registered financial advisor currently at CODE WAECHTER LLC located in Tampa, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Brian has worked at 4 firms and has passed the SIE and Series 1 exams.

Question & Answer

What are your service offerings?

Tax Planning

Retirement Income Management

Long-term Care

Comprehensive Financial Planni...

Investment Planning

Small Business Planning

Estate Planning

Insurance Planning

Are you a "fiduciary"?

Yes

Aliases

Brian E Code

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.

(1) NAME:CODE SMITH BENEFITS, LLC. INV REL:Y. ADDR: 4830 W KENNEDY BLVD, SUITE 875, TAMPA FL 33609. NATURE: OTHER - GROUP HEALTH AND GROUP BENEFIT SALES. POSITION: SALES, OWNERSHIP, AGENT, SALE OF GROUP HEALTH AND GROUP BENEFITS. START: 12/28/2007, NO HR/MO: 30. NO/HR MO DUR TRADING: 25.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Edward Code's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

January 12, 2018 - Present

CODE WAECHTER LLC

Office #1: 4830 W. Kennedy Blvd., Tampa, FL 33609

RIA

CRD#: 289372

Tampa, FL

Past

March 1, 1996 - January 5, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

TAMPA, FL

Past

March 1, 1996 - January 5, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

TAMPA, FL

Past

August 11, 1987 - January 3, 1989

PETRA SECURITIES, INC.

CRD#: 17540

Past

October 4, 1979 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

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".

CODE WAECHTER LLC

CODE WAECHTER LLC | CODE WECHETER CODE LLP | CODE WAECHTER PLLC

CRD#: 289372 / SEC#: 801-119308

RIA

Registered Investment Advisory firm - (8/19/2020 Approved)

Florida

Registered Investment Advisory firm - (9/1/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/23/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(1/12/2018)

IAR

Texas
(4/19/2018)

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.

Exams

General Industry/Product Exam

SIE

Date: 1/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 9/27/1979

Registered Representative Examination

Current Firm

CODE WAECHTER LLC

CODE WAECHTER LLC | CODE WECHETER CODE LLP | CODE WAECHTER PLLC

CRD#: 289372 / SEC#: 801-119308

RIA

Registered Investment Advisory firm - (8/19/2020 Approved)

Florida

Registered Investment Advisory firm - (9/1/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/23/2021 Terminated)

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Contact information

Main Address

4890 W. Kennedy Blvd. Suite 680, Tampa, FL 33609

Mailing Address

Phone number

(813) 287-8775

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CODE WAETCHTER ADV PART 2A (7/23/2025)

Regulatory assets under management

Total Number of Accounts	1,012
AUM (Assets Under Management)	$ 329,453,529

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.

Contact information

xxxxx@xxxx.xxx

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Brian E. Code

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Edward Code's CRS (Customer Relationship Summary).

Certified licenses

Experience

CODE WAECHTER LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PETRA SECURITIES, INC.

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

CODE WAECHTER LLC

State Registrations and Notice Filings

Exams

SIE

Date: 1/5/2018

Series 1

Date: 9/27/1979

Current Firm

CODE WAECHTER LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CODE WAECHTER LLC

TRUST BUT VERIFY

Contact information

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