Kenneth F. Merlo

ROBERTS & RYAN

New York, NY 10006-3003

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CRD#: 4832294

Professional summary

Kenneth F Merlo, who also goes by Ken Merlo, Kenneth Merlo, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Ken Merlo | Kenneth Merlo

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) - BD

Click below to view Kenneth F Merlo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

October 3, 2019 - Present

ROBERTS & RYAN, INC.

Office #1: 39 Broadway Ste 610, New York, NY 10006-3003Office #2: 39 Broadway, Suite 610, New York, NY 10006-3003

CRD#: 19456

New York, NY

Past

August 13, 2020 - January 25, 2021

GLOBAL PACIFIC SECURITIES US, INC.

CRD#: 304566

New York, NY

Past

March 8, 2017 - October 16, 2019

ALPHASOURCE CAPITAL SECURITIES LLC

CRD#: 145875

EAST QUOGUE, NY

Past

November 19, 2015 - December 2, 2016

PRONET FINANCIAL PARTNERS LLC

CRD#: 154601

LONDONDERRY, NH

Past

October 4, 2013 - January 28, 2019

GLOBAL VENTURES CAPITAL, LLC

CRD#: 167018

NEW YORK, NY

Past

June 3, 2011 - June 15, 2015

PEX GLOBAL INC.

CRD#: 153131

NEW YORK, NY

Past

February 8, 2011 - May 19, 2014

MORGAN CREEK CAPITAL DISTRIBUTORS, LLC

CRD#: 154377

Chapel Hill, NC

Past

October 12, 2010 - February 4, 2011

PEX GLOBAL INC.

CRD#: 153131

NEW YORK, NY

Past

September 5, 2008 - September 17, 2009

MAHLER & EMERSON INC.

CRD#: 7826

NEW YORK, NY

Past

February 8, 2005 - June 19, 2012

JUNIPER CAPITAL GROUP, LLC

CRD#: 122952

NEW YORK, NY

Past

January 5, 2005 - March 7, 2005

ADIRONDACK CAPITAL PARTNERS, INC.

CRD#: 29884

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(1/29/2024)

District of Columbia
(2/21/2025)

Florida
(5/8/2024)

Louisiana
(1/29/2024)

Massachusetts
(12/23/2021)

New York
(10/3/2019)

Texas
(7/23/2024)

Exams

State Security Law Exam

Series 63

Date: 5/16/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/4/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 7/5/2005

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

ROBERTS & RYAN, INC.

ROBERTS & RYAN INVESTMENTS INC. | ROBERTS SECURITIES, INC. | ROBERTS & RYAN, INC.

CRD#: 19456 / SEC#: 801-113965, 8-37469

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

39 Broadway Ste 1640, New York, NY 10006

Mailing Address

39 Broadway Ste 610, New York, NY 10006-3003

Phone number

(866) 884-9959

Established

Delaware since 02/01/2023

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (32 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
DALESSANDRO, EDWARD JOHN	MANAGING DIRECTOR, CEO	2335785
R&R PARTNERS HOLDING COMPANY, LLC	SHAREHOLDER
R&R PRINCIPALS HOLDING COMPANY, LLC	SHAREHOLDER
BEATON, DANIEL STEWART	CHIEF FINANCIAL OFFICER, FINOP	4240769
ROBERTS, DANIEL	CCO	2208120
SCALA, BRIAN NMN	REGISTERED OPTIONS PRINCIPAL	2814478

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Kenneth F. Merlo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth F Merlo's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL PACIFIC SECURITIES US, INC.

ALPHASOURCE CAPITAL SECURITIES LLC

PRONET FINANCIAL PARTNERS LLC

GLOBAL VENTURES CAPITAL, LLC

PEX GLOBAL INC.

MORGAN CREEK CAPITAL DISTRIBUTORS, LLC

PEX GLOBAL INC.

MAHLER & EMERSON INC.

JUNIPER CAPITAL GROUP, LLC

ADIRONDACK CAPITAL PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/2005

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2005

Series 14

Date: 1/2/2023

Series 24

Date: 7/5/2005

FINRA

New York Stock Exchange

Current Firm

ROBERTS & RYAN, INC.

Contact information

FINRA licenses (32 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROBERTS & RYAN, INC.

TRUST BUT VERIFY

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