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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

CORY RICHARD KOZISEK

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FORT COLLINS, CO | Timnath, CO

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Search this name across graphsid dfx:ria:f2b4201f-caeb-f38e-d03a-ee43def75ac5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 3, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 2, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 2, 2004
First registration: Nov 3, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4823989

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 2, 2016	n/a	yes	FORT COLLINS, CO\|Timnath, CO	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Aug 5, 2016	no	FORT COLLINS, CO\|DENVER, CO\|FORT COLLINS, CO\|FORT COLLINS, CO	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 16, 2010	Jan 3, 2011	no	FORT COLLINS, CO	Previous registration
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Jan 18, 2006	Apr 9, 2010	no	Denver, CO\|LONGMONT, CO\|FORT COLLINS, CO\|BOISE, ID\|FORT COLLINS, CO\|BROOKLYN, OH\|Meridian, ID	Previous registration
KEYBANC CAPITAL MARKETS INC.	n/a	Nov 3, 2004	Jan 18, 2006	no	LOVELAND, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 5, 2016	Aug 2, 2016	-3	Firm change	Wirehouse to wirehouse
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
KEY INVESTMENT SERVICES LLC	WELLS FARGO INVESTMENTS, LLC	Apr 9, 2010	Apr 16, 2010	7	Firm change	Other
KEYBANC CAPITAL MARKETS INC.	KEY INVESTMENT SERVICES LLC	Jan 18, 2006	Jan 18, 2006	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:7691:CO:2016-08-05	Aug 5, 2016	Aug 2, 2016	FORT COLLINS, CO	Firm change

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Aug 2, 2016 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Aug 5, 2016factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 16, 2010 to Jan 3, 2011factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Jan 18, 2006 to Apr 9, 2010factForm ADV
→ KEYBANC CAPITAL MARKETS INC.Registered adviserregistration: previous registration
Nov 3, 2004 to Jan 18, 2006factForm ADV

Dated events

No dated event names this entity yet.