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Ryan Clayton Terminated by Merrill Lynch, Pierce, Fenner & Smith

Ryan Clayton (CRD #: 6833882) was fired by Merrill Lynch, Pierce, Fenner & Smith. This disclosure appears on his BrokerCheck record, accessed on September 13, 2024. Details concerning this dispute are provided below. 

Employment Separation After Allegations 

On July 10, 2024, Merrill Lynch, Pierce, Fenner & Smith fired Ryan Clayton following allegations regarding the alteration of client documents. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Altering client documents may violate this rule. 

Background Information 

Ryan Clayton has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 7TO General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination 

During his six years of experience, he has registered with three firms: 

  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • First Citizens Investor Services (CRD #: 44430) 
  • Wells Fargo Clearing Services (CRD #: 19616) 

Kurta Law Can Help 

If you worked with Ryan Clayton and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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