Roy F Smalley III
| Firm: | Morgan Stanley Smith Barney LLC |
|---|---|
| Firm Location: | Minneapolis, MN |
| Firm Primary Clients: | Individuals |
| Type: | Broker |
Description
Roy F Smalley III is a representative at Morgan Stanley Smith Barney LLC. Morgan Stanley Smith Barney LLC primarily manages accounts for individuals, high net worth individuals, and corporations or other businesses and has more than $330B in assets under management. This broker is registered with FINRA. This advisor's firm is SEC-registered.
BrightScope Advisor Metrics
Answers and Guides
0 Answers and 0 Financial Guides
Top Answers
Roy F Smalley III has not answered any questions on Financial Q&A.Top Guides
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*Answers and guides are provided without compensation.
Firm Client Types
| Individuals | |
| High Net Worth Individuals | |
| Corporations or Other Businesses | |
| Other Investment Advisors | |
| State or Municipal Government Entities | |
| Other Pooled Investment Vehicles | |
| Charitable Organizations | |
| Pension and Profit Sharing Plans | |
| Banking or Thrift Institutions | |
| Insurance Companies |
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
Experience and Employment History
| Employer | Years | Dates |
|---|---|---|
| Morgan Stanley Smith Barney | 2 years, 12 months | Jun 2009 - Present |
| Morgan Stanleymorgan Stanley & Co. Incorporated | 5 years, 1 month | May 2007 - Present |
| Dain Rauscher Incorporated | 9 years, 2 months | Mar 1998 - May 2007 |
*Experience and Employment History information reflects the past 10
years of employment as reported on the SEC ADV filing as of 12/09/2010, and is not a complete representation of the advisor's experience and
employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm
and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.
Licenses and Conduct
| Regulator |
|
|
|---|---|---|
| License Status |
Not registered
|
Registered
|
| Disclosures |
No Disclosures Found |
1 Customer Dispute |
| As of Date |
12/09/2010
|
12/09/2010
|
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.
Advisor Exams
| Exam | Series | Passed Date |
|---|---|---|
| Uniform Investment Adviser Law Examination | Series 65 | 05/15/1997 |
| Uniform Securities Agent State Law Examination | Series 63 | 05/01/1997 |
| Futures Managed Funds Examination | Series 31 | |
| General Securities Representative Examination | Series 7 |
Firm Compensation Arrangements
Types of Compensation Arrangements
- Percentage of Assets
- Fixed Fees
- Commissions
- Other: SEE SCHEDULE D MISCELLANEOUS
