Cody Aubry (CRD #6459117) Has Financial and Judgment/Lien Disclosures on FINRA BrokerCheck

Cody Aubry (CRD #6459117) is a broker with financial and judgment/lien disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 11, 2026. It reflects one financial disclosure and one judgment/lien disclosure. If you invested with Cody Aubry and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Financial Disclosures

Cody Aubry’s FINRA BrokerCheck Report reflects one financial disclosure. A summary of the disclosure is below:

On October 12, 2019, Cody Aubry FINRA BrokerCheck reports a final compromise with a creditor. BrokerCheck lists Citi/Costco as the creditor and states the original amount owed was $12,649.00. The report says Aubry paid $5,692.00 to close the account. BrokerCheck lists the disposition as settled on October 17, 2019.

Judgment / Lien Disclosures

Cody Aubry’s FINRA BrokerCheck Report also reflects one judgment/lien disclosure. A summary of the disclosure is below:

On February 2, 2026, Cody Aubry FINRA BrokerCheck reports a civil judgment/lien in the amount of $932.95. BrokerCheck lists Express Recovery Services as the holder and says the matter remains outstanding. The report identifies the Third Judicial District Court in Tooele County, Utah, and lists case number 260300099.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires firms and associated persons to observe high standards of commercial honor and just and equitable principles of trade. Financial distress disclosures can matter to investors because they may raise concerns about judgment, transparency, and professional conduct.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain a supervisory system that is reasonably designed to achieve compliance with securities laws and FINRA rules. When a broker has reportable financial events, firms still need supervision and procedures that help protect customers and monitor risk.

Why This Matters to Investors (Regulation Best Interest (Reg BI))

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Cody Aubry:

Is currently registered with Fidelity Brokerage Services LLC and Strategic Advisers LLC.

Has passed the Securities Industry Essentials (SIE) exam. Cody Aubry has also passed Series 7, Series 66, and Series 63.

Was previously registered with Fidelity Personal and Workplace Advisors.

Kurta Law Can Help

If you have worked with Cody Aubry and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What Is Securities Fraud?

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.