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MR

Michael P. Ryan

Some features on this profile are disabled
CRD#: 4628819
MR

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.

Michael Patrick Ryan, who also goes by Michael Patrick Ryan Mr., Michael Ryan, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2003. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Patrick Ryan Mr. | Michael Ryan

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®
None

Experience

Past

October 19, 2016 - October 23, 2023

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
PORTLAND, ME
Past

April 21, 2010 - March 21, 2016

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

August 18, 2008 - May 4, 2010

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

April 11, 2003 - August 19, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 5/19/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/21/2013
General Securities Principal Examination

Current Firm

SC
STERLING CAPITAL DISTRIBUTORS, LLC
ABN AMRO DISTRIBUTION SERVICES (USA), INC. | STERLING CAPITAL DISTRIBUTORS, LLC | STERLING CAPITAL DISTRIBUTORS, INC. | BB&T AM DISTRIBUTORS, INC. | ASTON FUNDS DISTRIBUTORS, INC.

CRD#: 103934 / SEC#: , 8-52396

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

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS LLCDIRECTOR OWNER/SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENECHIEF COMPLIANCE OFFICER / VP / TREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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.

Company Information

STERLING CAPITAL DISTRIBUTORS, LLC

CRD#: 103934

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