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Detailed Report
CODY B BRADSHAW
CODY BRADSHAW
CRD#: 4451145
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 COWBOYS WAY
FRISCO, TX 75034
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2006 (4 years)2 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - Present (15 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)2001 - 2006 (4 years)
License(s)

State Registrations

B
Alabama 6/22/2023
B
Minnesota 11/8/2016
B
Arizona 11/14/2019
B
Missouri 12/17/2021
B
Arkansas 3/27/2023
B
Nevada 3/26/2020
B
California 7/15/2021
B
New Jersey 6/16/2023
B
Colorado 3/17/2021
B
New York 1/3/2020
B
Connecticut 8/29/2024
B
North Carolina 4/17/2014
B
Delaware 10/31/2023
B
Ohio 6/23/2020
B
Florida 2/11/2014
B
Oklahoma 10/23/2009
B
Georgia 6/19/2019
B
Pennsylvania 9/11/2020
B
Idaho 10/29/2021
B
South Carolina 10/29/2021
B
Illinois 6/16/2023
B
South Dakota 1/20/2016
B
Indiana 10/29/2021
B
Tennessee 5/7/2018
B
Kansas 12/17/2021
B
Texas 10/23/2009
B
Louisiana 10/31/2019
IA
Texas 10/23/2009
B
Maryland 9/25/2023
B
Virginia 12/1/2011
B
Massachusetts 10/29/2021
B
Washington 3/25/2015
B
Michigan 3/31/2011
B
Wisconsin 1/28/2022

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 COWBOYS WAY, FRISCO, TX 75034
Registered with this firm since 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 COWBOYS WAY, FRISCO, TX 75034
Registered with this firm since 10/23/2009
Previous Registration(s)
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IA
 07/28/2006 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DALLAS, TX
B
 07/28/2006 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DALLAS, TX
IA
 02/08/2002 - 11/16/2006 SPECTRUM STRATEGIES, L.L.C. (CRD#:115318) ADDISON, TX
IA
 08/20/2002 - 08/11/2006 MML INVESTORS SERVICES, INC. (CRD#:10409) ADDISON, TX
B
 09/19/2001 - 08/11/2006 MML INVESTORS SERVICES, INC. (CRD#:10409) ADDISON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.