Ryan Duffy

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2005-11-03
NJ	RA	APPROVED	2003-01-06

TX RA
APPROVED

Since 2005-11-03
NJ RA
APPROVED

Since 2003-01-06

Branch Locations

Basking Ridge, NJ • United States

115 W Century Rd, Paramus, NJ 07652 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch Pierce Fenner & Smith	Paramus	NJ	01/2003	Present
Bank Of America,N.A.	Glen Rock	NJ	06/2011	Present

01/2003 → Present

Merrill Lynch Pierce Fenner & Smith

Paramus , NJ
06/2011 → Present

Bank Of America,N.A.

Glen Rock, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-08-28
S63	Uniform Securities Agent State Law Examination	1994-10-04

S65 Uniform Investment Adviser Law Examination

1996-08-28
S63 Uniform Securities Agent State Law Examination

1994-10-04

Other Names

Ryan K Duffy
Ryan Kenneth Duffy