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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Codie? Claim Your ProfileCodie Tiffin is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Codie has been working in the financial services industry since 2010. Codie is licensed to provide financial advice in multiple states including Oklahoma, Texas, New Mexico, Arizona and others. Codie is also registered as an investment advisor in Oklahoma and Texas. Codie holds a Series 7, Series 63, and Series 66 licenses. Codie is committed to helping clients reach their financial goals through a range of services, including portfolio management, financial planning, and retirement planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OK
04/04/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (OKLAHOMA CITY OK)
OK
12/19/2022 - 02/16/2023
DAI SECURITIES, LLC (EDMOND OK)
NM
07/30/2019 - 12/22/2022
SCF SECURITIES, INC. (ALBUQUERQUE NM)
NM
06/29/2017 - 07/31/2019
CETERA INVESTMENT SERVICES LLC (ALBUQUERQUE NM)
NM
08/03/2015 - 01/17/2017
FIDELITY BROKERAGE SERVICES LLC (ALBUQUERQUE NM)
NM
11/22/2010 - 07/13/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ALBUQUERQUE NM)
BOTH
Issued 08/05/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/13/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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