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Ryan John Emmons

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Charlotte, NC

CRD 6345351

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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-04-27
NC RA APPROVED 2026-03-20
  • TX RA
    APPROVED
    Since 2026-04-27
  • NC RA
    APPROVED
    Since 2026-03-20

Branch Locations

6000 Fairview Rd, Charlotte, NC 28210 • United States

13510 Ballantyne Corporate Pl, Charlotte, NC 28277 • 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
Ubs Financial Services Inc. Weehawken NJ 12/2015 02/2026
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 03/2026 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-12-31
S65 Uniform Investment Adviser Law Examination 2015-12-18
  • S63 Uniform Securities Agent State Law Examination
    2015-12-31
  • S65 Uniform Investment Adviser Law Examination
    2015-12-18
Other Names
  • Ryan John Emmons
  • Ryan Emmons

View on SEC IAPD

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