Cody Lummus has been an investment adviser representative at Delos Private Client Group since January 2024, and is not listed among the firm’s executive officers or direct owners.
Delos Private Client Group, LLC is a Dallas, TX firm with $186M under management, 95 clients and 7 advisers across 3 offices, as of its September 2026 filing.
Cody Lummus’ longest registration was 7 years at Wells Fargo Advisors, LLC (2008–2016). Before joining Delos Private Client Group in 2024, Cody Lummus was registered through Lear Investment Management and Wells Fargo Advisors, LLC.
- – present · 2 yearsDallas, TX · Adviser representative · Firm CRD 300734
- Lear Investment Management– · 2 yearsDallas, TX · Adviser representative · Firm CRD 174119
- Wells Fargo Advisors, LLC– · 7 yearsDallas, TX · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Cody Lummus is registered as an investment adviser representative in Texas, since January 2024.
- TexasSince 17 January 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | 16 October 2026 |
| Series 66 | Uniform Combined State Law Examination | 25 September 2008 |
| Series 7 | General Securities Representative Examination | 5 September 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Cody Lee Lummus
- CRD
- 5565377
- Firm
- Delos Private Client Group · CRD 300734
- Office
- 1845 WOODALL RODGERS FWY, SUITE 1000, Dallas, TX 75201
- Registration
- Investment adviser registration
- In the industry since
- October 2008
- Disciplinary history
- Not yet shown here · SEC record
Where does Cody Lummus work?
Cody Lummus is an investment adviser representative registered through Delos Private Client Group, LLC since January 2024, and is not listed among the firm’s executive officers or direct owners.
Is Cody Lummus a financial advisor?
Yes. Cody Lummus has a current investment-adviser registration in Texas, through Delos Private Client Group since January 2024.
How many years of experience does Cody Lummus have?
Cody Lummus has 18 years in the financial industry, since October 2008, across 3 adviser firms.
What exams has Cody Lummus passed?
Cody Lummus has passed 3 licensing exams: the Series 7, Series 66 and SIE. The earliest, the Series 7, was passed in September 2008.
Where did Cody Lummus work before Delos Private Client Group?
Before Delos Private Client Group, Cody Lummus was registered through Delos Wealth Advisors, March 2019 to December 2023; Lear Investment Management, August 2016 to March 2019; Wells Fargo Advisors, LLC, October 2008 to August 2016.
Where is Cody Lummus based?
Cody Lummus’ registered office is in Dallas, TX.
Is Cody Lummus registered with FINRA?
No. Cody Lummus has no current broker registration.
How can I verify Cody Lummus’ record?
Search CRD 5565377 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Cody Lummus’ full registration record.
