Patrick C. 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.
Patrick Clarkson Ryan was a registered financial advisor .
Patrick is a previously registered financial advisor and started their career in finance in 1993. Patrick had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2004 - February 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - February 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 30, 2004 - October 20, 2004
QUICK & REILLY, INC.
December 15, 2003 - October 20, 2004
QUICK & REILLY, INC.
April 16, 2003 - December 16, 2003
PRUCO SECURITIES, LLC.
November 6, 1998 - May 11, 2001
GILFORD SECURITIES INCORPORATED
May 22, 1996 - November 13, 1998
BLUESTONE CAPITAL CORP.
May 3, 1995 - May 28, 1996
A.S. GOLDMEN & CO., INC.
October 13, 1993 - May 2, 1995
D. H. BLAIR & CO., INC.
August 30, 1993 - October 5, 1993
BLUESTONE CAPITAL CORP.
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
Current Firm
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
