Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cody? Claim Your ProfileCody Carl Smith is a financial advisor who has been in the industry since August 2006. Cody is currently registered with Raymond James Financial Services Advisors, Inc. and has been with the firm since May 2023. Prior to joining Raymond James, Cody was with Securian Financial Services, Inc., from October 2006 to May 2023. Cody is a Certified Financial Planner and holds the Series 6, Series 7, and SIE licenses. Cody provides advisory services to individuals, businesses, insurance companies, charitable organizations, pension and profit sharing plans, and corporations. Cody is also registered to provide investment advisory services in California and Texas.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
05/31/2023 - Present
Raymond James Financial Services Advisors, Inc. (San Ramon CA)
CA
10/26/2006 - 05/31/2023
SECURIAN FINANCIAL SERVICES, INC. (SAN RAMON CA)
CA
07/27/2006 - 09/25/2006
WOODBURY FINANCIAL SERVICES, INC. (SAN RAMON CA)
BC
Issued 08/03/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2009
Series 7 - General Securities Representative Examination
BC
Issued 07/26/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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