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Cody Ray Flatt

Ubs Financial Services Inc.

Davenport, IA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2026-06-02
  • IA RA
    APPROVED
    Since 2026-06-02

Branch Locations

5515 Utica Ridge Road, Davenport, IA 52807 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Davenport IA 06/2026 Present
Morgan Stanley Private Bank, N.A New York NY 03/2022 Present
Deere Employees Credit Union Moline IL 04/2015 02/2018
Invest Financial Corp. Tampa FL 09/2015 02/2018
Lpl Financial Llc Moline IL 02/2018 02/2022
Morgan Stanley Smith Barney Llc Davenport IA 02/2022 06/2026
Morgan Stanley Private Bank, N.A. New York NY 03/2022 06/2026
Morgan Stanley Smith Barney Llc Scottsdale AZ 07/2022 06/2026
  • 06/2026 → Present
    Ubs Financial Services Inc.
    Davenport , IA
  • 03/2022 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 04/2015 → 02/2018
    Deere Employees Credit Union
    Moline, IL
  • 09/2015 → 02/2018
    Invest Financial Corp.
    Tampa, FL
  • 02/2018 → 02/2022
    Lpl Financial Llc
    Moline, IL
  • 02/2022 → 06/2026
    Morgan Stanley Smith Barney Llc
    Davenport, IA
  • 03/2022 → 06/2026
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 07/2022 → 06/2026
    Morgan Stanley Smith Barney Llc
    Scottsdale, AZ
Previous Registrations
  • 2022-02-04 → 2026-06-04
    Morgan Stanley
    Scottsdale, AZ
    Davenport, IA
  • 2018-02-14 → 2022-02-22
    Lpl Financial Llc
    Moline, IL
    Ankeny, IA
    Olathe, KS
    Waterloo, IA
  • 2015-09-30 → 2018-02-16
    Invest Financial Corporation
    Moline, IL
    Appleton, WI
    Appleton, WI
  • 2015-04-22 → 2015-10-01
    Cuna Brokerage Services, Inc.
    Moline, IL
  • 2014-10-03 → 2015-04-16
    Investment Centers Of America, Inc.
    Hillsdale, IL
    Port Byron, IL
    Erie, IL
    Albany, IL
    Port Byron, IL
    Bismarck, ND
  • 2014-02-20 → 2014-10-09
    Usadvisors Wealth Management, Llc
    Bettendorf, IA
  • 2014-01-09 → 2014-02-20
    Securities America Advisors, Inc.
    Bettendorf, IA
  • 2012-05-15 → 2014-01-09
    Usadvisors Wealth Management, Llc
    Bettendorf, IA
    Clinton, IA
    Bettendorf, IA
  • 2010-04-29 → 2012-12-05
    Securities America Advisors, Inc.
    Bettendorf, IA
  • 2006-05-19 → 2010-04-21
    Cuna Brokerage Services, Inc.
    Johnston, IA
    Moline, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-18
S63 Uniform Securities Agent State Law Examination 2005-07-06
  • S66 Uniform Combined State Law Examination
    2006-05-18
  • S63 Uniform Securities Agent State Law Examination
    2005-07-06
Other Names
  • Cody R Flatt

View on SEC IAPD

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Other Offices

ROBERT W. BAIRD & CO. INCORPORATED · Quad Cities, IA
EDWARD JONES · Davenport, IA
MATHESON & ROCK WEALTH MANAGEMENT, LLC · DAVENPORT, IA
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STATE FARM INVESTMENT MANAGEMENT CORP. · DAVENPORT, IA
EDWARD JONES · DAVENPORT, IA
REDHAWK WEALTH ADVISORS, INC. · DAVENPORT, IA
THRIVENT INVESTMENT MANAGEMENT INC. · DAVENPORT, IA

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