Dawn CodyCRD Number: 6086960
Current Firm: Heartland Advisors, Inc.
Dawn Cody (CRD# 6086960) is an Investment Advisor Representative working at Heartland Advisors, Inc. in Milwaukee, WI and has over 5 years of experience in the finance industry.
Financial Service Group Inc.
Fortress Planning Group
|Alps Distributors, Inc.||Denver, CO||Aug 2012 - Current||5|
|Heartland Advisors||Milwaukee, WI||Jun 2012 - Current||5|
|Cleary Gull Advisors||Milwaukee, WI||Jul 2007 - Jun 2012||4|
|Markel American Insurance Company||Waukesha, WI||Oct 2004 - Jun 2007||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 2012|
|S65||NASAA Investment Advisors Law Examination||Mar 2013|
Total Assets Under Management2,691MILLIONS
Total Number of Accounts316ACCOUNTS
Average Account Value$8,516,858
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
CA, FL, IL, LA, MA, MD, MI, MN, MO, NJ, NY, OH, TN, TX, WI