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Roy Lee Goins

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Information

Other Names: Roy Lee Goings Jr, Roy Lee Goins Jr, Roy Lee Goins Jr Jr ...(see more)
Firm:
Type: Dual Registration
Description

Roy Goins 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 13 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Morgan Stanley Smith Barney 5 years, 3 months Jun 2009 - Present
Morgan Stanley & Co., Incorporated 7 years, 5 months Apr 2007 - Present
Dean Witter Reynolds Inc. 6 years, 11 months May 2000 - Apr 2007
Exams
ExamSeriesPassed Date
General Securities Sales Supervisor - Options Module ExaminationSeries 9 10/22/2003
General Securities Sales Supervisor - General Module ExaminationSeries 10 07/22/2003
Futures Managed Funds ExaminationSeries 31 06/14/2000
Uniform Combined State Law ExaminationSeries 66 01/28/2000
General Securities Representative ExaminationSeries 7 01/10/2000

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Roy Lee Goins has not answered any questions on Financial Q&A.

Top Guides

Roy Lee Goins 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

No Disclosures Found

As of Date
02/27/2013
11/15/2013
*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