|Other Names:||Roy F Smalley III, Roy Smalley|
Roy Smalley is a financial professional at Morgan Stanley Smith Barney LLC, a broker-dealer with over 24,600 registered representatives nationwide. Roy has held an industry securities registration for 16 years and is subject to SEC and FINRA oversight.
Top AnswersRoy F Smalley has not answered any questions on Financial Q&A.
|High Net Worth Individuals|
|Other Investment Advisors|
|State or Municipal Government Entities|
|Other Pooled Investment Vehicles|
|Corporations or Other Businesses|
|Pension and Profit Sharing Plans|
|Banking or Thrift Institutions|
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|Morgan Stanley Smith Barney||4 years, 9 months||Jun 2009 - Present|
|Morgan Stanleymorgan Stanley & Co. Incorporated||6 years, 10 months||May 2007 - Present|
|Dain Rauscher Incorporated||9 years, 2 months||Mar 1998 - May 2007|
No Disclosures Found
1 Customer Dispute
|As of Date||
*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.
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|Futures Managed Funds Examination||Series 31||01/12/2004|
|Uniform Investment Adviser Law Examination||Series 65||05/15/1997|
|Uniform Securities Agent State Law Examination||Series 63||05/01/1997|
|General Securities Representative Examination||Series 7||04/24/1997|
Types of Compensation Arrangements
- Percentage of Assets
- Fixed Fees
- Other: SEE SCHEDULE D MISCELLANEOUS