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Kirsten Monika Cody

Wells Fargo Clearing Services, LLC

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About Kirsten Monika Cody

Kirsten Cody is a financial professional with over 24 years of experience in the industry. Kirsten has been with Wells Fargo Clearing Services, LLC since September 2014, and prior to that was with Stifel, Nicolaus & Company, Incorporated. Kirsten holds Series 4, 7, 24, 27, 52TO, 53, and 63 licenses. Kirsten is dedicated to providing comprehensive financial planning and investment advice to her clients.

Firm Information

Kirsten Cody is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Kirsten Cody’s Registration & Firm History

MO

11/24/2014 - Present

Wells Fargo Clearing Services, LLC (ST. LOUIS MO)

MO

09/08/2010 - 09/30/2014

STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)

MO

05/20/2009 - 09/10/2010

PATRICK CAPITAL MARKETS, LLC (ST LOUIS MO)

MO

03/07/2005 - 09/10/2010

SAXONY SECURITIES, INC. (ST. LOUIS MO)

MO

12/02/2008 - 12/10/2008

PATRICK FINANCIAL CORPORATION (ST LOUIS MO)

MO

10/16/2003 - 06/23/2004

SAXONY SECURITIES, INC. (ST. LOUIS MO)

MO

01/04/2000 - 09/04/2003

CLEARING SERVICES OF AMERICA, INC. (ST. LOUIS MO)

MO

05/27/1998 - 12/31/1999

MERCANTILE INVESTMENT SERVICES, INC. (ST. LOUIS MO)

MO

04/23/1997 - 04/15/1998

CLEARING SERVICES OF AMERICA, INC. (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 04/29/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/21/2018

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/04/1999

Series 53 - Municipal Securities Principal Examination

BC

Issued 06/01/1998

Series 24 - General Securities Principal Examination

BC

Issued 11/04/1997

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/22/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Kirsten Monika Cody. Review regulatory record here.
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