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

Roy Smalley is a financial professional at Morgan Stanley Smith Barney LLC, a broker-dealer with over 24,800 registered representatives nationwide. Roy has held an industry securities registration for 16 years and is subject to SEC and FINRA oversight.

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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

High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Charitable Organizations
Corporations or Other Businesses
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 4 years, 10 months Jun 2009 - Present
Morgan Stanleymorgan Stanley & Co. Incorporated 6 years, 12 months 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 05/11/2012, 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

License Status

No Disclosures Found

1 Customer Dispute

As of Date
*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.

Advisor Exams

Exam Series Passed Date
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

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions