Ryan Smith work email
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Ryan Smith personal email
I am an attorney that helps broker-dealers, registered investment advisers and their associates spend more time growing their business by handling a wide range of legal and compliance responsibilities. This includes advising them on matters related to the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and SEC and FINRA rules; counseling them during regulatory inquiries and arbitration proceedings; and serving as Chief Compliance Officer.Direct message me or contact me at ryan.smith@practus.com if you or your firm:* Need a Chief Compliance Officer (I have an active Series 24);* Need to review or enhance your supervisory procedures or systems to respond to regulatory events;* Are facing a FINRA, SEC or state regulatory exam or investigation;* Have any sort of regulatory reporting obligations, including to the Consolidated Audit Trail (CAT);* Are contemplating, or currently involved with, an arbitration claim before FINRA Dispute Resolution; or* Are facing any other legal or compliance issue affecting broker-dealers, registered investment advisers and your associates.When I am not serving my clients, I enjoy going on adventures with my family; supporting the Nationals, Capitals, Old Glory DC and the University of Tennessee Rugby Club; and participating in various CSAUP (Completely Stupid And Utterly Pointless) athletic events with my friends.
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Managing MemberRyan P. Smith Law, PlcArlington, Va, Us
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Managing MemberRyan P. Smith Law, Plc Feb 2024 - Present -
Chief Compliance OfficerBayshore Partners Llc Aug 2022 - Present
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PartnerPractus, Llp Mar 2022 - Feb 2024Washington, Dc, Us -
Vice PresidentGoldman Sachs Sep 2020 - Mar 2022New York, New York, UsServed as Vice President and Chief Compliance Officer of Folio Investments, Inc. following Goldman Sachs' acquisition of the broker-dealer. -
Chief Compliance OfficerFolio Investing Sep 2019 - Mar 2022Mclean, Va, Us• Administered Folio’s compliance with the regulatory standards applicable to an online, self-clearing broker-dealer providing execution, clearing and custodial services to registered investment advisors and their clients• Evaluated regulatory developments, identified methods to mitigate compliance risks to the firm, and implemented corresponding written supervisory policies and procedures• Provided guidance to other departments on the application of rules and regulations• Responded to regulatory inquiries -
Associate General CounselFolio Investing Jun 2019 - Sep 2020Mclean, Va, Us• Provided legal support to all aspects of Folio's operations as an online, self-clearing broker-dealer providing execution, clearing and custodial services to individual investors and registered investment advisors
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Senior Principal CounselFinra (Financial Industry Regulatory Authority) Dec 2017 - Jun 2019Washington, District Of Columbia, Us• Provided interpretive advice to FINRA staff, member firms and other interested parties concerning FINRA's rules as well as the federal securities laws and regulations• Supported FINRA's administration of regulatory services agreements by analyze other self-regulatory organizations’ rules pursuant to Rule 17d-2 of the Securities Exchange Act of 1934 • Represented the organization in non-disciplinary litigation, including statutory disqualification proceedings -
Director And CounselFinra (Financial Industry Regulatory Authority) Oct 2013 - Dec 2017Washington, District Of Columbia, Us• Co-managed FINRA's private placement oversight program in its Corporate Financing Department• Developed processes to evaluate securities sold through private placements and drafted corresponding procedures• Supervised analysts in their reviews and investigations of these offerings• Provided guidance on the federal and state standards applicable to private placements to other FINRA units• Represented the Department in communications to the industry (e.g., Regulatory Notice 17-17; presentations to the Alternative & Direct Investment Securities Association and the North American Securities Administrators Association)
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Assistant General CounselFinra (Financial Industry Regulatory Authority) Dec 2010 - Oct 2013Washington, District Of Columbia, Us• Managed litigation and reputational risk to FINRA by effectively representing the organization in litigation and other matters• Reported investigation results to senior management orally and in writing• Drafted pleadings and motions and supervised local counsel in these matters• Trained staff on policies and procedures concerning e-discovery and interacting with other regulators
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Attorney & OwnerThe Law Office Of Ryan P. Smith, Plc Jan 2009 - Dec 2010Richmond, Va, Us• Counseled clients with issues before state and federal courts and other bodies, including FINRA, the Securities and Exchange Commission (SEC), the National Futures Association, the Occupational Safety and Health Administration, the American Arbitration Association and the Certified Financial Planner Board of Standards, Inc.• Drafted pleadings and other motions, handled all phases of discovery, prepared clients for examination and conducted the evidentiary hearings or negotiated settlements, as applicable
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Policy ConsultantWells Fargo Advisors Aug 2008 - Jul 2009St. Louis, Missouri, Us• Helped the organization manage regulatory risk by analyzing the impact of SEC and FINRA rules on business processes and drafting or updating compliance procedures -
Attorney & Vice PresidentWells Fargo Advisors Aug 2002 - Aug 2008St. Louis, Missouri, Us• Represented the company and its employees in complaints and arbitration claims • Investigated claims and advised management on the risks that these matters posed• Drafted pleadings and other motions, handled all phases of discovery, prepared clients for examination and conducted the evidentiary hearings or negotiated settlements, as applicable• Researched and drafted the company’s comments on several SEC and FINRA rulemaking proposals
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Senior AnalystFinra Aug 1998 - Jul 2002Washington, District Of Columbia, UsAnalyzed broker-dealer communications for compliance with the applicable regulatory standards, and upon identifying any deficiencies, memorialized my findings to the member firm.
Ryan Smith Skills
Ryan Smith Education Details
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George Mason University - Antonin Scalia Law SchoolLaw -
University Of MarylandBachelor Of Science
Frequently Asked Questions about Ryan Smith
What company does Ryan Smith work for?
Ryan Smith works for Ryan P. Smith Law, Plc
What is Ryan Smith's role at the current company?
Ryan Smith's current role is Managing Member.
What is Ryan Smith's email address?
Ryan Smith's email address is sm****@****ing.com
What schools did Ryan Smith attend?
Ryan Smith attended George Mason University - Antonin Scalia Law School, University Of Maryland.
What are some of Ryan Smith's interests?
Ryan Smith has interest in Poverty Alleviation, Social Services, Education, Health.
What skills is Ryan Smith known for?
Ryan Smith has skills like Securities, Finra, Litigation, Securities Regulation, Arbitration, Legal Research, Legal Writing, Mutual Funds, Financial Services, Broker Dealer, Civil Litigation, Commercial Litigation.
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