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Cory Howard

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Bend, ORCRD #4785872Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
18 yrs
States Registered
41 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 41 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareFloridaGeorgiaHawaiiIdahoIllinoisIndianaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaTennesseeTexasVirginiaWashingtonWyoming
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 12/14/2009
Series 65
Uniform Investment Adviser Law Examination
Passed 3/10/2005
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 5/20/2008
Series 7
General Securities Representative Examination
Passed 4/8/2008
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 4/16/2004
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 8/27/2012
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 8/31/2010

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
2/6/2012Bend, OR
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
2/3/2012Bend, OR
DELCO INVESTMENT ADVISORS, LLC
8/12/201112/3/2011Scottsdale, AZ
CHARLES SCHWAB & CO., INC.
10/29/20098/8/2011Phoenix, AZ
MORGAN STANLEY & CO. INCORPORATED
4/17/200811/20/2008Eugene, OR

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Cory Howard has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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