Lynn M. Ryan

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CRD#: 2961638

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.

Lynn Marie Ryan was a registered financial professional .

Lynn is a previously registered financial professional and started their career in finance in 1998. Lynn had worked at 5 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 10410

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONNING INVESTMENT PRODUCTS, INC.

CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.

CRD#: 120387 / SEC#: 801-79816, 8-66444

RIA

Registered Investment Advisory firm - SEC (6/5/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 1/13/1998

General Securities Representative Examination

Current Firm

CONNING INVESTMENT PRODUCTS, INC.

CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.

CRD#: 120387 / SEC#: 801-79816, 8-66444

RIA

Registered Investment Advisory firm - SEC (6/5/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Financial Plaza 755 Main Street, Hartford, CT 06103

Mailing Address

One Financial Plaza, Hartford, CT 06103-2627

Phone number

(860) 299-2000

Established

Delaware since 02/13/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
CONNING & COMPANY	SHAREHOLDER
BRADFORD, LINWOOD EARLE JR	CHAIR BOARD OF DIRECTORS	4179446
DALY, MATTHEW KENNETH	PRESIDENT & HEAD OF SALES/ BOARD MEMBER	2638773
GEORGE, KENNETH RONALD	FINOP	2643369
LEE, JUNG WON	MANAGING DIRECTOR, CFO & COO, BOARD MEMBER	2791334
PEARCE, ROBERT STEDMAN	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	1991468
SMALLEY, VI (VIOLA) R.	CHIEF LEGAL COUNSEL/CORPORATE SECRETARY	5899872

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 517,711,336

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.

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Lynn M. Ryan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONNING INVESTMENT PRODUCTS, INC.

1851 SECURITIES, INC

AXCELUS FINANCIAL DISTRIBUTION COMPANY

VP DISTRIBUTORS LLC

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

CONNING INVESTMENT PRODUCTS, INC.

State Registrations and Notice Filings

Exams

Series 7

Date: 1/13/1998

Current Firm

CONNING INVESTMENT PRODUCTS, INC.

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CONNING INVESTMENT PRODUCTS, INC.

TRUST BUT VERIFY

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