Cody Ross Pollock

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2023-11-03
FL	RA	APPROVED	2023-10-09
TX	RA	APPROVED_RES	2023-10-08
MN	RA	APPROVED	2023-09-01

MA RA
APPROVED

Since 2023-11-03
FL RA
APPROVED

Since 2023-10-09
TX RA
APPROVED_RES

Since 2023-10-08
MN RA
APPROVED

Since 2023-09-01

Branch Locations

10900 Wayzata Boulevard Suite 850, Minnetonka, MN 55305 • 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

Organization	City	State	From	To
Bethel University	Arden Hills	MN	08/2017	05/2020
Principal Financial Group	Minnetonka	MN	06/2019	08/2019
City Of Edina	Edina	MN	05/2018	08/2018
Eden Prairie Umpires	Eden Prairie	MN	06/2012	08/2019
Needle Inc	Eden Prairie	MN	04/2016	05/2020
Dordt College	Sioux Center	IA	08/2016	05/2017
Drews Concessions Llc	Minneapolis	MN	10/2013	11/2017
Bethel University	Arden Hills	MN	02/2018	05/2020
Thrivent Investment Management Inc	Waconia	MN	06/2020	04/2022
Thrivent Financial	Appleton	WI	07/2020	03/2022
Sagepoint Financial, Inc.	St Louis Park	MN	04/2022	09/2023
Osaic Wealth, Inc.	St Louis Park	MN	09/2023	Present

08/2017 → 05/2020

Bethel University

Arden Hills, MN
06/2019 → 08/2019

Principal Financial Group

Minnetonka, MN
05/2018 → 08/2018

City Of Edina

Edina, MN
06/2012 → 08/2019

Eden Prairie Umpires

Eden Prairie, MN
04/2016 → 05/2020

Needle Inc

Eden Prairie, MN
08/2016 → 05/2017

Dordt College

Sioux Center, IA
10/2013 → 11/2017

Drews Concessions Llc

Minneapolis, MN
02/2018 → 05/2020

Bethel University

Arden Hills, MN
06/2020 → 04/2022

Thrivent Investment Management Inc

Waconia, MN
07/2020 → 03/2022

Thrivent Financial

Appleton, WI
04/2022 → 09/2023

Sagepoint Financial, Inc.

St Louis Park, MN
09/2023 → Present

Osaic Wealth, Inc.

St Louis Park, MN

Previous Registrations

2022-04-01 → 2023-09-01

Osaic Services, Inc.

St Louis Park, MN
2020-09-04 → 2022-04-04

Thrivent Investment Management Inc.

Golden Valley, MN

Waconia, MN

Other Businesses

1) CODY POLLOCK INSURANCE POSITION: Producer NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 08/17/2020 ADDRESS: 5775 Wayzata Blvd, Suite 360, St. Louis Park MN 55416, United States DESCRIPTION: I offer fixed insurance products when appropriate 2) JAMES' TRIUMPH POSITION: Secretary NATURE: Non-profit organization. Filed with state of MN on 11/3/25. IRS 501(c)(3) non-proit. Providing support to families who have suffered the loss of a child through miscarriage, stillbirth or infant loss. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/03/2025 ADDRESS: 168 Pioneer Trl #355, Chaska MN 55318, United States DESCRIPTION: Take notes during board meetings and make sure organization events are on track. Help organize events, maintain website. Voting member of a 3 person board.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-09-03

S66 Uniform Combined State Law Examination

2020-09-03

View on SEC IAPD