Cody Keller Permitted to Resign from Northwestern Mutual
Cody Keller (CRD #: 6669454) has been permitted to resign from Northwestern Mutual Investment Services. This disclosure appears on his BrokerCheck record, accessed on October 9, 2023. Details regarding his resignation are provided below.
On August 7, 2023, Cody Keller was permitted to resign from Northwestern Mutual Investment Services following allegations that he paid a customer from his personal bank account. The firm alleged this appeared to be an attempt to avoid a customer complaint, for which he was previously reprimanded. He also allegedly engaged in an undisclosed and unapproved outside business activity.
Finally, the firm alleged Cody Keller did not provide factual responses when asked about his actions.
FINRA Rule 3270 requires brokers to disclose to their firm any business activities they engage in outside it, including any compensation they expect to receive. Cody Keller did not disclose any outside businesses on his detailed BrokerCheck report.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Impersonating clients violates this rule. Attempting to avoid a customer complaint violates this rule.
Cody Keller has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Series 7TO General Securities Representative Examination
- SIE Securities Industry Essentials Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
He is a registered broker in 14 states and is a registered investment adviser in Pennsylvania and Texas.
Cody Keller has registered with the following firms: MML Investors Services (CRD #: 10409) and Northwestern Mutual Investment Services (CRD #: 2881).
Kurta Law Can Help
If you worked with Cody Keller and have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.