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Detailed Report
CODY R HERRING
Cody Herring
CRD#: 7752039
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 112 HOMER ADAMS PKWY
ALTON, IL 62002
Registration History
2023AprJulOct2024AprJulOct2025AprJulOct2026Apr2 FIRMS2025 - Present (<1 year)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2023 - 2025 (1 year)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2024 - 2025 (1 year)
License(s)

State Registrations

B
Alabama 3/31/2025
B
Missouri 2/4/2025
B
Alaska 3/31/2025
B
Montana 2/4/2025
B
Arizona 2/4/2025
B
Nebraska 3/31/2025
B
Arkansas 2/4/2025
B
Nevada 3/31/2025
B
California 3/31/2025
B
New Jersey 3/31/2025
B
Colorado 3/31/2025
B
New York 3/31/2025
B
District of Columbia 3/31/2025
B
North Carolina 3/31/2025
B
Florida 2/4/2025
B
North Dakota 3/31/2025
B
Georgia 3/31/2025
B
Ohio 4/1/2025
B
Hawaii 3/31/2025
B
Oklahoma 3/31/2025
B
Illinois 2/4/2025
B
Oregon 3/31/2025
IA
Illinois 2/4/2025
B
Pennsylvania 3/31/2025
B
Indiana 2/4/2025
B
Puerto Rico 3/31/2025
B
Iowa 2/4/2025
B
South Carolina 2/4/2025
B
Kansas 2/4/2025
B
Tennessee 3/31/2025
B
Kentucky 3/31/2025
B
Texas 3/31/2025
B
Louisiana 3/31/2025
IA
Texas 3/31/2025
B
Maine 3/31/2025
B
Utah 2/4/2025
B
Maryland 3/31/2025
B
Vermont 3/31/2025
B
Massachusetts 2/4/2025
B
Virginia 3/31/2025
B
Michigan 3/31/2025
B
Washington 3/31/2025
B
Minnesota 3/31/2025
B
West Virginia 3/31/2025
B
Mississippi 2/4/2025
B
Wisconsin 3/31/2025

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
112 HOMER ADAMS PKWY, ALTON, IL 62002
Registered with this firm since 2/4/2025
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
112 HOMER ADAMS PKWY, ALTON, IL 62002
Registered with this firm since 2/4/2025
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/31/2024 - 01/23/2025 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) Edwardsville, IL
B
 12/20/2023 - 01/23/2025 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) EDWARDSVILLE, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.