Cody is the Chief Supervision Officer and Head of Operations for Principal Securities®. He joined Principal® in 2008, holding various roles within Product and Distribution Compliance before transitioning to Principal Financial Network and then Principal Securities. 
In his role, Cody oversees the broker-dealer and registered investment advisor (RIA) Supervision and Operations teams, supporting their endeavor to provide the highest standard of service to financial professionals and their clients. His teams manage securities trading, processing, service delivery, and administration, as well as provide supervisory oversight to monitor the performance and conduct of financial professionals, ensuring adherence to regulations, policies, and internal procedures. 
Cody is an Accredited Investment Fiduciary (AIF®) and holds FINRA licenses 4, 6, 7, 24, 27, 53, 66, and 99. He has a bachelor’s degree in finance from Drake University.