Kenneth F Merlo
Professional Summary
Kenneth F Merlo, who also goes by Ken Merlo, Kenneth Merlo, is a registered financial advisor currently at ROBERTS & RYAN, INC. located in New York, New York. Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2005. Kenneth has worked at 10 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 82TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ken Merlo, Kenneth Merlo
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
ROBERTS & RYAN INVESTMENTS INC. | ROBERTS SECURITIES, INC. | ROBERTS & RYAN, INC.
Contact Information
Main Address
39 Broadway Ste 1640, New York, NY 10006Mailing Address
39 Broadway Ste 610, New York, NY 10006-3003Phone Number
(866) 884-9959Established
Delaware since 02/01/2023Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (32 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/29/2024)
(2/21/2025)
(5/8/2024)
(1/29/2024)
(12/23/2021)
(10/3/2019)
(7/23/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kenneth F Merlo's CRS (Customer Relationship Summary).
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