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Ryan Patrick Smith

Financial markets and services Attorney at Arlington, VA

Not yet reviewed
  • State Years
    Dist. of Columbia - DC 15 years
    Virginia - VA 16 years
    Maryland - MD 22 years
  • Licensed for 15 years
    State DC
    Acquired 2009
    Status
    Good Standing No misconduct found
  • Licensed for 16 years
    State VA
    Acquired 2008
    Status
    Active No misconduct found
  • Licensed for 22 years
    State MD
    Acquired 2001
    Status
    Active No misconduct found

We have not found any instances of professional misconduct for this lawyer.

About Ryan

Learn Ryan’s areas of practice.

You are a broker-dealer, a registered investment adviser (RIA) or an associate of one of those entities.  You want to spend more time serving your clients, not serving the SEC or FINRA.  Contact me if you or your firm:

  • Need to test or enhance your supervisory procedures or systems to respond to regulatory developments;
  • Have to defend 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 commencing, or currently defending, an arbitration claim before FINRA Dispute Resolution;
  • Seek to expunge matters from your record on the Central Registration Depository (CRD);
  • Need a Chief Compliance Officer (I have an active Series 24); and/or
  • Are facing any other legal or compliance issue affecting broker-dealers, registered investment advisers and your associates.

Photos and videos

Episode 23 of InvestorCOM's "Wealth Compliance Leaders" series

Location

Ryan P. Smith Law, PLC
4250 North Fairfax Drive
Suite 600
Arlington, VA, 22203

Reviews

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Cost

We have not found any cost information for this lawyer

Contact for Details

Resume

AVVO RATING 7.1 (Very Good)

Work Experience

  • Managing Member
  • Ryan P. Smith Law, PLC
  • 2024 - Present
  • Chief Compliance Officer
  • Bayshore Partners, LLC
  • 2022 - Present
  • Partner
  • Practus, LLP
  • 2022 - 2024
  • Chief Compliance Officer & Vice President
  • Folio Investments, Inc., a Goldman Sachs company
  • 2019 - 2022
  • Various
  • Finra (Financial Industry Regulatory Authority)
  • 2010 - 2019
  • Owner
  • The Law Office of Ryan P. Smith, PLC
  • 2008 - 2010
  • Attorney & Vice President / Policy Consultant
  • Wachovia Securities
  • 2002 - 2008
View all work experience

Education

  • George Mason University School of Law
  • J.D.
  • 1999
  • University of Maryland
  • B.S.
  • 1994

Associations

  • ProVisors
  • Group Leader
  • 2023 - Present
  • Alzheimer's Association Legal Industry Leadership Council
  • Member
  • 2023 - Present
  • National Society of Compliance Professionals
  • Editorial Committee; Publications Committee
  • 2023 - Present

Languages Spoken

  • English

Honors and Awards

  • Certificate of Commendation
  • The Veterans Consortium Pro Bono Program
  • 2018

Publications

Speaking Engagements

  • Kaufman Rossin
  • SEC & FINRA Compliance - Cybersecurity Decoded
  • 2024
View all speaking engagements

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Arlington Financial markets and services Lawyer Ryan Patrick Smith
Ryan Patrick Smith
Financial markets and services Attorney
Arlington, VA
Licensed for 22 years