Ryan Smyth

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Ryan Smyth


Ryan advises clients on a wide range of regulatory and compliance issues, including those related to information security and privacy, business continuity and disaster recovery, anti-fraud programs, vendor management, and enterprise risk management. He also has deep knowledge of compliance and regulations governing the broker-dealer and investment-adviser areas of wealth management.


Prior to joining Promontory, Ryan served as chief security and privacy officer for LPL Financial, where he oversaw the firm’s compliance with applicable federal and state laws on information security and privacy. He was also vice president of enterprise risk management for LPL, where he oversaw vendor management, anti-fraud efforts, and business continuity. Ryan also served in a variety of roles for UBS AG, focusing on over-the-counter derivatives. 


  • B.A., University of Connecticut

Affiliations, Awards, and Civic Engagements

  • Certified Regulatory and Compliance Professional (CRCP)
  • Certified Information Security Manager (CISM)
  • Certified Information Privacy Professional (CIPP)
  • Certified Business Continuity Professional (CBCP)   

Representative Engagements

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