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About Ryan
Biography
I help broker-dealers and registered investment advisers who do not have dedicated in-house legal or compliance staff achieve peace of mind that they are meeting their regulatory obligations, so they can spend more time serving their clients and their business and less time serving their regulators. Contact me at if you want to bring decades of Wall Street experience to bear on your firm.
Practice Areas
1
Practice Area
Fees and Rates
Cost
Payment Methods
- Check
- Credit Card
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Chat withLicenses
Licensed in District of Columbia for 17 years
State: District of Columbia
Acquired: 2009
No misconduct found
Licensed in Virginia for 17 years
State: Virginia
Acquired: 2008
No misconduct found
Licensed in Maryland for 24 years
State: Maryland
Acquired: 2001
No misconduct found
Location
Ryan P. Smith Law, PLC
4250 North Fairfax Drive, Suite 600, Arlington, VA, 22203
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Experience
Honors
2018
Certificate of Commendation, The Veterans Consortium Pro Bono Program
Work Experience
2024 - Present
Managing Member, Ryan P. Smith Law, PLC
2022 - 2024
Partner, Practus, LLP
2019 - 2022
Chief Compliance Officer & Vice President, Folio Investments, Inc., a Goldman Sachs company
2010 - 2019
Various, Finra (Financial Industry Regulatory Authority)
2008 - 2010
Owner, The Law Office of Ryan P. Smith, PLC
2002 - 2008
Attorney & Vice President / Policy Consultant, Wachovia Securities
Associations
2023 - Present
ProVisorsGroup Leader
2023 - 2024
Alzheimer's Association Legal Industry Leadership CouncilMember
2023 - 2024
National Society of Compliance ProfessionalsPublications Committee
Education
1999
George Mason University School of Law
J.D.
1994
University of Maryland
B.S.
Speaking Engagements
2024
Kaufman Rossin
SEC & FINRA Compliance - Cybersecurity Decoded
2023
InvestorCOM
Wealth Compliance Leaders, Ep. 23
2023
2023 NSCP National Conference
Equity Markets & Order Handling Considerations
2022
Independent Broker Dealer Consortium
Top 10 Best Compliance Tips for Broker Dealers and RIAs
Publications
2024
National Society of Compliance Professionals' Currents
Compliance Considerations for Spot Cryptocurrency ETFs
2023
National Society of Compliance Professionals' Currents
Two Cents on the 2023 FINRA Report
2023
National Society of Compliance Professionals' Currents
Obvious Facts and Bad Company
2022
National Society of Compliance Professionals' Currents
A Strategy for Creating an Effective CAT Compliance Program
Languages
English
Activity
Legal Guides