Dominick Cody

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2014 → 07/2017
  Sanford C. Bernstein & Co., Llc
  New York, NY
• 07/2017 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Short Hills, NJ
• 04/2019 → Present
  Bank Of America, N.A.
  Short Hills, NJ

Previous Registrations

• 2014-05-02 → 2017-08-10
  Alliancebernstein L.P.
  New York, NY
• 2013-09-20 → 2014-03-28
  Voya Financial Advisors, Inc.
  Jersey City, NJ

Other Businesses

I*1879289, Entity Type:Entity Charitable, Name of OBA:William J McGinn PTA Address:Scotch Plains, NJ 07076, Investment Related: No Position, Title, Association: Treasurer Employee Start Date: 7/1/2024, No Hours:10 hrs hourly No Hours during trading:2 Duties: Non-profit elementary school Parent Teacher Association. My role is treasurer.

Exams

• S66 Uniform Combined State Law Examination
  2013-09-16