Articles Tagged with Jill Cody

Jill CodyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 27, 2017 indicate that former New Jersey-based Concorde Investment Services broker/adviser Jill Cody has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Cody (CRD# 4333419).

Jill Cody has spent fourteen years in the securities industry and was most recently registered with Concorde Investment Services in Spring Lake, New Jersey (2013-2016). Previous registrations include Westminster Financial Securities in Providence, Rhode Island; Columbia Management Investment Distributors in Boston, Massachusetts; Park Avenue Securities in Manasquan, New Jersey; Merrill Lynch in New York, New York; Concorde Asset Management in Livonia, Michigan; and Westminster Financial Advisory in Dayton, Ohio. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, she has received one FINRA sanction and six pending customer complaints.