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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-30
OH RA APPROVED 2024-04-08
  • TX RA
    APPROVED_RES
    Since 2024-04-30
  • OH RA
    APPROVED
    Since 2024-04-08

Branch Locations

312 Walnut St Pbig - Cincinnati, Cincinnati, OH 45202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Touchstone Securities Cincinnati OH 05/2020 04/2024
Unemployed Cincinnati OH 12/2019 04/2020
Procter & Gamble Cincinnati OH 04/1998 12/2019
Fort Washington Investment Advisors, Inc. Cincinnati OH 05/2020 04/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Cincinnati OH 04/2024 Present
Bank Of America, N.A. Cincinnati OH 06/2024 Present
Previous Registrations
Other Businesses

1) Touchstone Securities, Inc.; investment related; 303 Broadway, Suite 1200, Cincinnati, OH 45202; Broker-Dealer; Registered Representative; 05/2020; 160 per month; 140 during trading hours; 2) Fort Washington Investment Advisors; investment related; 303 Broadway, Suite 1200, Cincinnati, OH 45202; RIA / Investment Management; Vice President Inv Relations; 05/04/2020; 160 per month; 140 during trading hours; Business Development and Client Services. 3) Name of the other business: American Diabetes Association; Not investment related; Address of the other business: 2451 Crystal Drive, Suite 900 Arlington VA 22202; Nature: Focused on preventing and curing diabetes and improving the lives of those affected.; Position: I serve on the local diabetes community leadership board.; Start Date: 6/2015; Approximate number of hours per month devoted to the other business: 1 - 5; 0 during trading hours; Duties Include: Strategic leadership 4) Name of other business: Cancer Family Care (CFC); not investment related; 4790 Redbank Expressway, Suite 128, Cincinnati OH 45227; Nature of other business: Cancer family care is a non profit org that helps children and adults with the effects of a cancer diagnosis in the family.; Position: Board of trustees; Start date 4/1/2021; Approximate hours per month: 0-5 with 0 during trading hours; Duties Include: Help establish strategic direction and monitor organizational progress, guide and monitor policy implementation, enhance organizational public standing. Exercise fiduciary responsibility for financial affairs. 5) Name of other business: CFA Society Cincinnati; Investment related: Yes - Professional organization; Address of other business: 4010 Executive Park Dr. Suite 100 Cincinnati OH 45241; Nature: Membership provides members with access to benefits that help pursue professional knowledge, advance careers, and lead with ethics.; Position: Committee Member, not a board member; Start Date: 10/26/20; Approximate numbers of hours per month: 1-5, 0 during trading hours; Duties include: Focused on enhancing the membership experience and growing the membership 6) Name of other business: The School for Creative & Performing Arts; Not investment related; Address of the other business: 108 W. Central Parkway Cincinnati OH 45202; Nature: I will be the School for Creative & Performing Arts Board; Position: Board Member; Start date: Approx. 1/1/2022; Approximate number of hours per month: 1-5; 0-5 during trading hours; Duties include: Help Establish strategic direction and monitor the organizations progress vs goals. I*1794303, Entity Type:Entity Charitable, Name of OBA: TheGreaterCincinnatiArts&EducationCenter dba (The SCPA Fund) Address:Cincinnati, OH 45202 Investment Related: Yes Position, Title, Association: Board Member,Officer Employee Start Date: 03/01/2023 No Hours: 5 hrs monthly No Hours during trading:1 Duties:I am a board member (Vice Chairman) playing a role in corporate governance, guiding strategic decisions, fostering accountability, and shaping the organization's destiny.Periodically I am involved in asset allocation decisions. However, there are other licensed individuals that make trades and have access to the portfolio. I do not have any access to the portfolio. I*3094267, Entity Type: Entity Charitable, Name of OBA: Matthew 25: Ministries, Address: Cincinnati, Ohio, 45242, Investment Related: N, Position, Title, Association: Committee,Other, Employee State Date: 11/01/2025, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: Provide input, strategic guidance, and advice to an the organization without having formal decision-making or fiduciary authority. Offer feedback, work to expand the organization's network, and act as a mentor, while also often promoting the organization in my own circles. The mission of Matthew 25: Ministries is to fulfill Matthew 25:34-40 of the New Testament.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-15
  • S66 Uniform Combined State Law Examination
    2020-08-15
Other Names
  • Nick Riordan

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