Ryan P. Smith

Ryan P. Smith

Partner
Washington, D.C.
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ABOUT

Ryan Smith enables broker-dealers, registered investment advisers and their associates to spend more time growing their business by helping them address a wide range of legal and compliance responsibilities with clear and detailed advice.

As in-house counsel for nearly 20 years for two broker-dealers and a self-regulatory organization, Ryan has advised clients on a wide variety of matters arising under the Securities Act of 1933, the Securities Exchange Act of 1934 and related SEC and FINRA rules.  He has counseled them during regulatory exams, investigations, arbitration proceedings and client complaints.  Ryan also has assisted them with a wide range of compliance needs, including: serving as Chief Compliance Officer, researching and drafting written supervisory procedures to respond to new rules and other regulatory developments, overseeing reporting to the Consolidated Audit Trail (CAT) and other forms of regulatory reporting, and managing a regulatory surveillance unit.  

Ryan holds the Series 7, 24 and 66 in addition to being admitted to practice law in multiple jurisdictions.

When he is not serving his clients, Ryan enjoys going on adventures with his family; supporting his Nationals, Capitals and D.C. United; and participating in various CSAUP (Completely Stupid And Utterly Pointless) athletic events with friends.

ADMISSIONS

  • District of Colmubia
  • Fourth Circuit Court of Appeals
  • Maryland
  • U.S. Court of Appeals for Veterans Claims (CAVC)
  • U.S. District Courts for the Western and Eastern Districts of Virginia
  • Virgina

LANGUAGE

  • English

EDUCATION

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

AWARDS

Certificate of Commendation, The Veterans Consortium Pro Bono Program · Mar 2018


FUN FACTS

FAVORITE QUOTE

Favorite Quote

Between stimulus and response there is a space.  In that space is our power to choose our response.  In our response lies our growth and our freedom.

Viktor Frankl
  • Favorite Song
    Favorite Song

    Recomposed by Max Richter: Vivaldi, The Four Seasons; Metallica: Creeping Death

  • Favorite Movie
    Favorite Movie

    It’s a Wonderful Life

  • Favorite Vacation
    Favorite Vacation

    Family road trip through Ireland and Northern Ireland

  • Favorite Artist
    Favorite Artist

    Frank Lloyd Wright

ALTERNATE CAREER PATH

Alternate Carrer Path

If I didn’t work for a law firm, I’d be at the helm of a barbecue pit getting grimy while turning humble cuts of meat into something special.

ADMISSIONS

  • District of Colmubia
  • Fourth Circuit Court of Appeals
  • Maryland
  • U.S. Court of Appeals for Veterans Claims (CAVC)
  • U.S. District Courts for the Western and Eastern Districts of Virginia
  • Virgina

LANGUAGE

  • English

EDUCATION

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

AWARDS

Certificate of Commendation, The Veterans Consortium Pro Bono Program · Mar 2018

CONNECT WITH ME

At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.

CONTACT ME
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