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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2017-01-09
TX RA APPROVED_RES 2000-02-04
IL RA APPROVED 1998-04-12
  • OH RA
    APPROVED
    Since 2017-01-09
  • TX RA
    APPROVED_RES
    Since 2000-02-04
  • IL RA
    APPROVED
    Since 1998-04-12

Branch Locations

5905 E Galbraith Rd, Cincinnati, OH 45236 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 06/1995 Present
Bank Of America, N.A. Chicago IL 09/2009 Present
Other Businesses

I*112162For profit or not for profit: Non-Profit OrganizationName of outside business organization: St Xavier High School Investment CommitteeAddress of business:Cincinnati, Ohio 45224Nature of business: Other,private high schoolPosition, title, association: Committee Member, Start date of relationship: 2/9/2018Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 2Duties: serve on investment committee to review performance and investment objectives of investment portfolio to ensure financial needs of school are met no investment recommendations are provided from committee.I*2556261, Entity Type: , Name of OBA: N T. R, Address: Sarasota, Florida, 37243, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 06/16/2025, No Hours: 20 Yearly, No Hours during Trading: 0 Yearly, Duties:I*, 2703263Entity Type: CharitableName of OBA: National Underground Railroad Freedom CenterAddress: Cincinnati, Ohio 45202Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 08/29/2025No Hours: 24hrs monthlyNo Hours during trading: 0 Duties: The National Underground Railroad Freedom Center is a museum of conscience, an education center, a convener of dialogue, and a beacon of light for inclusive freedom around the globe. The National Underground Railroad Freedom Center is the preeminent cultural learning center for inclusive freedom - locally, nationally and globally. I was asked to be a member of the board of directors at the Freedom Center to help guide the museum into the future. I*3448268 Entity Type: Name of OBA: j A. K Address: Venice, Florida, 34292 Investment Related: No Position, Title, Association: Executor Employee Start Date: 01/05/2026 Number of Hours: 40, Monthly Number of Hours during trading: 0, Monthly Duties: Aunt

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-27
S63 Uniform Securities Agent State Law Examination 1995-12-01
  • S65 Uniform Investment Adviser Law Examination
    1995-12-27
  • S63 Uniform Securities Agent State Law Examination
    1995-12-01
Other Names
  • Mark M Ryan

View on SEC IAPD

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