Home  >  BrightScope Advisor Pages  >  Ryan Michael Uszenski

Ryan Michael Uszenski

Is this you? (Click to claim profile)
Contact Advisor

Information

Firm:
Type: Dual Registration
Description

Ryan Uszenski is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 31,800 registered representatives nationwide. Ryan has held an industry securities registration for 9 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Bank of America,Na 3 years, 3 months Jun 2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 5 years, 5 months Apr 2009 - Present
UBS Financial Services Inc. 5 years Apr 2004 - Apr 2009
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 06/21/2004
Uniform Securities Agent State Law ExaminationSeries 63 12/08/2003
General Securities Representative ExaminationSeries 7 11/24/2003

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Ryan Michael Uszenski has not answered any questions on Financial Q&A.

Top Guides

Ryan Michael Uszenski has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/10/2014
09/11/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions