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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
VT RA APPROVED 2020-11-24
TX RA APPROVED_RES 2012-11-19
NJ RA APPROVED 2009-07-07
  • VT RA
    APPROVED
    Since 2020-11-24
  • TX RA
    APPROVED_RES
    Since 2012-11-19
  • NJ RA
    APPROVED
    Since 2009-07-07

Branch Locations

100 Campus Dr, Florham Park, NJ 07932 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Florham Park NJ 06/2008 Present
Bank Of America, N.A. Florham Park NJ 02/2012 Present
Other Businesses

I*125763 For profit or not for profit: For-Profit Organization Name of outside business organization: Windham Ridge, LLC Investment related: N Address of business: Dover, Vermont 05341 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 10/31/2019 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Rental Camping Land I*127000/423211 For profit or not for profit: For-Profit Organization Name of outside business organization: Ryan Guthrie Investment related: N Address of business: brookside, New Jersey 07926 Nature of business: Other,no corporate structure Position, title, association: Other, Playing guitar and singing Start date of relationship: 10/2/2019 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I play guitar at local restaurants from time to time and they offered to pay me. I am submitting this to disclose the activity and payment.. I*1152350, Entity Type: Entity For Profit, Name of OBA: Mountain Jam Band, Address: morristown, New Jersey 07960, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 01/20/2023, No Hours: 6, No Hours during trading: 0, Duties: Playing Guitar and Singing. I am already approved for this activity, but the group I am playing with decided to establish an LLC. Therefore, I am re-entering it under the Band Name and the newly established LLC

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-07-06
  • S66 Uniform Combined State Law Examination
    2009-07-06
Other Names
  • Ryan Thomas Guthrie
  • Ryan T Guthrie

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