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Roy F Smalley

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Information

Other Names: Roy F Smalley III, Roy Smalley
Firm:
Type: Dual Registration
Description

Roy Smalley is a financial professional at Morgan Stanley, a broker-dealer with over 24,900 registered representatives nationwide. Roy has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Morgan Stanley Smith Barney 5 years, 4 months Jun 2009 - Present
Morgan Stanleymorgan Stanley & Co. Incorporated 7 years, 5 months May 2007 - Present
Dain Rauscher Incorporated 9 years, 2 months Mar 1998 - May 2007
Exams
ExamSeriesPassed Date
Futures Managed Funds ExaminationSeries 31 01/12/2004
Uniform Investment Adviser Law ExaminationSeries 65 05/15/1997
Uniform Securities Agent State Law ExaminationSeries 63 05/01/1997
General Securities Representative ExaminationSeries 7 04/24/1997

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Roy F Smalley has not answered any questions on Financial Q&A.

Top Guides

Roy F Smalley has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Corporations or Other Businesses
Other
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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

1 Customer Dispute

As of Date
09/10/2014
04/17/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D MISCELLANEOUS