William G. Ryan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Gerard Ryan, who also goes by William Gerald Doody, William Gerard Doody, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2013 - March 31, 2021
BNY MELLON SECURITIES CORPORATION
April 1, 2013 - March 31, 2021
BNY MELLON SECURITIES CORPORATION
May 23, 2007 - April 5, 2012
FLAGSTAR ADVISORS
June 3, 2004 - April 5, 2012
FLAGSTAR ADVISORS
January 29, 2004 - April 8, 2004
METROPOLITAN LIFE INSURANCE COMPANY
January 29, 2004 - April 8, 2004
MSI FINANCIAL SERVICES, INC.
March 3, 2003 - December 9, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
June 11, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
May 17, 2000 - September 6, 2001
APEX CLEARING CORPORATION
February 18, 1997 - May 19, 2000
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 30, 1993 - July 9, 1996
CITICORP INVESTMENT SERVICES
October 3, 1987 - March 23, 1988
DISCOUNT BROKERS INTERNATIONAL, INC.
August 12, 1985 - June 28, 1991
FLEET BROKERAGE SECURITIES, INC.
February 21, 1985 - June 27, 1985
F.D. ROBERTS SECURITIES, INC.
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/10/2023
General Securities Representative ExaminationSeries 52TO
Date: 11/10/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 11/10/2023
Securities Trader ExamSeries 55
Date: 11/25/1998
Limited Representative-Equity Trader ExamCurrent Firm
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
