Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Patrick Cody is an active investment advisor representative registered with Merrill Lynch, Pierce, Fenner & Smith Inc. John Cody is a seasoned professional with over 50 years of experience in the financial industry. John has held previous registrations with Bateman Eichler, Hill Richards, Incorporated and Merrill Lynch, Pierce, Fenner & Smith, Inc. John Cody has extensive experience in various financial services, including portfolio management for businesses and individuals, pension consulting, and educational seminars.
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
01/11/1994 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
NA
05/24/1977 - 11/16/1978
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
01/11/1972 - 06/09/1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 03/27/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/02/1977
PC - AMEX Put and Call Exam
BC
Issued 02/23/1972
Series 1 - Registered 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
Not sure John Cody is the right advisor for you? Invested Better is here to help.
