Chief Compliance Officer and Legal Counsel
Expertise: Regulatory and Securities Law
Experience: 20+ years
Kenneth Merlo is Chief Compliance Officer and Legal Counsel for Roberts & Ryan. Prior to joining Roberts & Ryan in 2019, Mr. Merlo was CCO of Eden Capital Management LLC, a private equity SEC Registered Investment Advisor. Prior to Eden Capital, Mr. Merlo was Chief Compliance Officer and Registered Securities Principal for Global Ventures, LLC, a FINRA member, placement and third-party marketer. During his career, Mr. Merlo held similar positions, as CCO and Registered Principal with a variety of FINRA member broker-dealer firms in the metro New York area.
Mr. Merlo holds SIE, FINRA Series 7, 24, 63, 79 and 99 licenses and is a member of the New York Bar Association.
Education and Service
Kenneth Merlo graduated from Brooklyn Law School earning a JD degree in 1982. He graduated Vassar College with a BA, Art History in 1975.