Stephen RyanCRD Number: 1932446
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Stephen Ryan (CRD# 1932446) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pittsford, NY and has over 27 years of experience in the finance industry.
Wall Street Financial Group, Inc.
American Portfolios Advisors, Inc.
Sage, Rutty & Company, Inc.
|Bank Of America, N.a.||Pittsford, NY||Jan 2016 - Current||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Pittsford, NY||Oct 2015 - Current||1|
|Morgan Stanley Private Bank, National Association||New York, NY||Jan 2015 - Oct 2015||< 1|
|Morgan Stanley Smith Barney||Rochester, NY||Jun 2009 - Oct 2015||6|
|Morgan Stanley & Company, Incorporated||Rochester, NY||Jan 2008 - Oct 2015||7|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Rochester, NY||Aug 1996 - Jan 2008||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1989|
|S65||NASAA Investment Advisors Law Examination||Jul 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management575,342MILLIONS
Total Number of Accounts1,715,259ACCOUNTS
Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV