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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
KY RA APPROVED 2026-08-25
  • KY RA
    APPROVED
    Since 2026-08-25

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

520 W New Circle Rd, Lexington, KY 40511 • 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
Farmers Bank Of Jessamine County Nicholasville KY 05/2024 08/2024
Fayette County Public Schools Lexington KY 03/2025 02/2026
Unemployed Lexington KY 12/2015 05/2023
Unemployed Lexington KY 08/2025 12/2025
Fidelity Investments Covington KY 02/2026 07/2026
Keystone Financial Group Lexington KY 05/2025 08/2025
Unemployed Lexington KY 08/2024 05/2025
Ecp Business Capital Lexington KY 05/2023 08/2023
Unemployed Lexington KY 08/2023 05/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lexington KY 07/2026 Present
Kentucky Concrete Lexington NY 04/2022 08/2022
Thompsons Five Llc Lexington KY 11/2022 12/2022
Fifth Third Bank Lexington KY 04/2026 06/2026
Kroger Lexington KY 10/2022 11/2022
  • 05/2024 → 08/2024
    Farmers Bank Of Jessamine County
    Nicholasville, KY
  • 03/2025 → 02/2026
    Fayette County Public Schools
    Lexington, KY
  • 12/2015 → 05/2023
    Unemployed
    Lexington, KY
  • 08/2025 → 12/2025
    Unemployed
    Lexington, KY
  • 02/2026 → 07/2026
    Fidelity Investments
    Covington, KY
  • 05/2025 → 08/2025
    Keystone Financial Group
    Lexington, KY
  • 08/2024 → 05/2025
    Unemployed
    Lexington, KY
  • 05/2023 → 08/2023
    Ecp Business Capital
    Lexington, KY
  • 08/2023 → 05/2024
    Unemployed
    Lexington, KY
  • 07/2026 → Present
    Lexington, KY
  • 04/2022 → 08/2022
    Kentucky Concrete
    Lexington, NY
  • 11/2022 → 12/2022
    Thompsons Five Llc
    Lexington, KY
  • 04/2026 → 06/2026
    Fifth Third Bank
    Lexington, KY
  • 10/2022 → 11/2022
    Kroger
    Lexington, KY
Other Businesses

I*5136273, Entity Type Entity Charitable, Name of OBA: Fayette County Public Schools Address: Lexington Kentucky 40503 Investment Related: No Position, Title, Association: Employee Employee Start Date: 02/15/2025 No Hours: 5 Weekly No Hours during trading: 0 Duties: I help coach the team I am an assistant baseball coach at Lafayette High School

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-08-25
S63 Uniform Securities Agent State Law Examination 2026-04-03
  • S66 Uniform Combined State Law Examination
    2026-08-25
  • S63 Uniform Securities Agent State Law Examination
    2026-04-03
Other Names
  • Ryan Scott Busseni
  • Ryan Busseni

View on SEC IAPD

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