Ryan D. Smith
Professional summary
Ryan Douglas Smith was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ryan is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Ryan had worked at 6 firms, which includes BELLWETHER ADVISORS LLC, GLB TRADING INC, THE WILLIAMS CAPITAL GROUP L.P., MKM PARTNERS LLC, SANFORD C. BERNSTEIN & CO. LLC, SANFORD C. BERNSTEIN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2006 - December 31, 2006
BELLWETHER ADVISORS, LLC
August 16, 2005 - December 15, 2005
GLB TRADING, INC
April 11, 2003 - January 7, 2005
THE WILLIAMS CAPITAL GROUP, L.P.
February 10, 2003 - March 31, 2003
MKM PARTNERS LLC
December 7, 2000 - October 18, 2002
SANFORD C. BERNSTEIN & CO., LLC
April 22, 1999 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 5/26/1999
Limited Representative-Equity Trader ExamCurrent firm
No current employment
Red Flags
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