• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Timothy Cody
TIMOTHY JOHN CODY, TIMOTHY CODY
CRD#: 5865909
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
201220142016201820202022202420262 FIRMS2017 - Present (7 years)BCALAMOS FINANCIAL SERVICES LLC (CRD# 19850)2014 - 2017 (2 years)BQUEST CAPITAL STRATEGIES, INC. (CRD# 16783)2014 - 2014 (<1 year)BTRADELINK L.L.C. (CRD# 33831)2011 - 2013 (2 years)
License(s)

State Registrations

B
Arizona 10/28/2022

B
Louisiana 3/14/2023

B
California 12/20/2018

B
Massachusetts 1/30/2024

B
District of Columbia 5/22/2023

B
Michigan 3/21/2022

B
Florida 1/14/2025

B
North Carolina 4/23/2018

B
Georgia 1/14/2025

B
Tennessee 8/7/2018

B
Illinois 8/29/2017

B
Washington 1/14/2025

IA
Illinois 9/7/2017

B
Wisconsin 9/20/2022

B
Indiana 2/12/2020

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)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 9/7/2017

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 8/29/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/24/2014 - 07/12/2017 CALAMOS FINANCIAL SERVICES LLC (CRD#:19850) NAPERVILLE, IL
B
10/17/2014 - 11/21/2014 QUEST CAPITAL STRATEGIES, INC. (CRD#:16783) LAGUNA HILLS, CA
B
03/09/2011 - 08/15/2013 TRADELINK L.L.C. (CRD#:33831) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.