Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Cody Farmer is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 17 years of experience in the financial industry. Frank is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Frank specializes in providing financial advice to individuals, corporations, and institutions. Frank has a wide range of experience in investment management, financial planning, and retirement planning. Frank is also a registered investment advisor and holds the Series 7, Series 63, and Series 65 licenses. Frank is committed to providing clients with personalized financial advice and investment strategies that meet their individual needs and goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
09/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
RI
03/07/2014 - 10/01/2015
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
CO
07/18/2008 - 02/28/2014
JANUS DISTRIBUTORS LLC (DENVER CO)
NY
04/06/2007 - 06/26/2008
NUVEEN INVESTMENTS, LLC (NEW YORK NY)
IA
Issued 10/17/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/18/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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