Best Investors Account Sign in
Inactive

Charles Code

Waverly Advisors, LLC

Chicago, IL

Birmingham, AL

Claim This Profile
Current Employers
Waverly Advisors, Llc

600 University Park Place Suite 501, Birmingham, AL 35209 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-11-14
  • IL RA
    APPROVED
    Since 2025-11-14

Branch Locations

156 N. Jefferson Street Suite 300, Chicago, IL 60661 • United States

600 University Park Place Suite 501, Birmingham, AL 35209 • 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
Promus Capital, Llc Chicago IL 01/2022 12/2024
Bank Of New York Mellon Boston MA 07/2021 12/2021
Indiana University Bloomington IN 08/2017 05/2021
West High School Iowa City IA 08/2013 05/2017
Promus Capital, Llc Chicago IL 01/2025 12/2025
Waverly Advisors, Llc Birmingham AL 11/2025 Present
  • 01/2022 → 12/2024
    Promus Capital, Llc
    Chicago, IL
  • 07/2021 → 12/2021
    Bank Of New York Mellon
    Boston, MA
  • 08/2017 → 05/2021
    Indiana University
    Bloomington, IN
  • 08/2013 → 05/2017
    West High School
    Iowa City, IA
  • 01/2025 → 12/2025
    Promus Capital, Llc
    Chicago, IL
  • 11/2025 → Present
    Waverly Advisors, Llc
    Birmingham, AL
Previous Registrations
  • 2024-02-21 → 2025-12-12
    Promus Capital, Llc
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-02-21
  • S65 Uniform Investment Adviser Law Examination
    2024-02-21

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

More in Chicago, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor