Richard A. Ryan
Professional summary
Richard Arthur Ryan, who also goes by Rick Ryan, is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Arthur Ryan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2020 - Present
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Office #1: 501 Commerce Street, Nashville, TN 37203February 27, 2019 - December 6, 2019
EQUITY SERVICES, INC.
August 4, 2015 - February 13, 2018
THORNBURG SECURITIES LLC
January 26, 2015 - April 24, 2015
QUASAR DISTRIBUTORS, LLC
October 24, 2005 - June 20, 2013
PACIFIC SELECT DISTRIBUTORS, LLC
August 15, 2001 - November 4, 2003
JANUS HENDERSON DISTRIBUTORS US LLC
June 1, 2000 - July 12, 2001
CAPITAL BROKERAGE CORPORATION
May 14, 1998 - February 2, 2000
PACIFIC SELECT DISTRIBUTORS, LLC
December 14, 1995 - February 19, 1998
OSAIC FS, INC.
November 15, 1993 - January 30, 1995
VERAVEST INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/6/2020)
Exams
FINRA
Current Firm
ALLIANCEBERNSTEIN INVESTMENTS, INC.
CRD#: 14549 / SEC#: , 8-30851
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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