Patrick 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

• 03/2011 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Century City, CA
• 03/2011 → Present
  Bank Of America, N.A.
  Century City, CA

Other Businesses

I*80756 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CODY FAMILY FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: PACIFIC PALISADES, CALIFORNIA 90272 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 42064 NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY FOUNDATION TO DISTRIBUTE CHARITABLE GIFTS. ALL CONTRIBUTIONS TO THE FOUNDATION WERE MADE BY JOHN AND VICTORIA CODY

Exams

• S66 Uniform Combined State Law Examination
  2011-06-07