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Frank Cody Farmer

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA

Honolulu, HI

Denver, CO

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-09-28
HI RA APPROVED 2016-02-08
CO RA APPROVED 2016-01-19
CA RA APPROVED 2015-10-19
  • TX RA
    APPROVED
    Since 2016-09-28
  • HI RA
    APPROVED
    Since 2016-02-08
  • CO RA
    APPROVED
    Since 2016-01-19
  • CA RA
    APPROVED
    Since 2015-10-19

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • United States

1003 Bishop St, Honolulu, HI 96813 • United States

200 Josephine St, Denver, CO 80206 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 09/2015 Present
Bank Of America, N.A. Los Angeles CA 11/2015 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-10-17
S63 Uniform Securities Agent State Law Examination 2007-04-18
  • S65 Uniform Investment Adviser Law Examination
    2015-10-17
  • S63 Uniform Securities Agent State Law Examination
    2007-04-18
Other Names
  • Frank Cody Farmer

View on SEC IAPD

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GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
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NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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