Unclaimed Profile

Claude Carr Cody

CAPSTONE FINANCIAL SOLUTIONS, LLC·HOUSTON, Texas

Series 6, Series 7, Series 26, Series 63Clean record20 years registeredCAPSTONE FINANCIAL SOLUTIONS, LLC

3700 WEST SAM HOUSTON PARKWAY SOUTH, HOUSTON, TX 77042CRD# 1313322Firm CRD# 126451

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Claude Carr Cody · HOUSTON, TX

Registration

CRD #1313322 · CAPSTONE FINANCIAL SOLUTIONS, LLC · 20 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CAPSTONE FINANCIAL SOLUTIONS, LLC

CAPSTONE ASSET MANAGEMENT COMPANY

Jan 2013 – Oct 2016

HOUSTON, TX

ROGER H. JENSWOLD & CO., INC.

Dec 2005 – Dec 2012

HOUSTON, TX

Registrations & Exams

FINRA examinations passed

Series 6

Series 7

Series 26

Series 63

Registration record

First registered · December 13, 2005

Years registered · 20

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CAPSTONE FINANCIAL SOLUTIONS, LLC

CRD 126451 · SEC 801-62065

AUM

$438M

Regulatory assets under management

Employees

954 client accounts

Services offered by CAPSTONE FINANCIAL SOLUTIONS, LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at CAPSTONE FINANCIAL SOLUTIONS, LLC →

Introduction

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Frequently Asked Questions

What services does Claude Carr Cody offer?

Claude Carr Cody specializes in Investment Management, Wealth Management, Fee-Only Advisory.

What are Claude Carr Cody's credentials?

Claude Carr Cody is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Claude Carr Cody located?

Claude Carr Cody is based in HOUSTON, Texas, last registered with CAPSTONE FINANCIAL SOLUTIONS, LLC.

How does Claude Carr Cody charge for services?

Claude Carr Cody's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CAPSTONE FINANCIAL SOLUTIONS, LLC?

CAPSTONE FINANCIAL SOLUTIONS, LLC has approximately 6 employees and manages $438M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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