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.

Contact Information