Dennis 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.
Dennis Ryan, CFP®, who also goes by Dennis M Ryan, Dennis Michael Ryan, Dennis Ryan, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1997. Dennis had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2024 - November 13, 2024
T. ROWE PRICE ADVISORY SERVICES, INC.
May 23, 2024 - November 13, 2024
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 27, 2023 - April 30, 2024
EMPOWER ADVISORY GROUP, LLC
April 27, 2023 - April 30, 2024
EMPOWER FINANCIAL SERVICES, INC.
November 4, 2021 - April 25, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 7, 2021 - April 24, 2023
FIDELITY BROKERAGE SERVICES LLC
December 11, 2019 - September 16, 2021
TRANSAMERICA RETIREMENT ADVISORS, LLC
December 11, 2019 - September 16, 2021
TRANSAMERICA INVESTORS SECURITIES, LLC
July 25, 2019 - November 18, 2019
CHARLES SCHWAB & CO., INC.
June 18, 2019 - November 18, 2019
CHARLES SCHWAB & CO., INC.
March 31, 2014 - May 31, 2019
T. ROWE PRICE ADVISORY SERVICES, INC.
March 6, 2014 - May 31, 2019
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 20, 1997 - February 16, 1999
BNY MELLON SECURITIES CORPORATION
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
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
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
