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Overview

Services

Advisor Services

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Funds

Funds Used With Clients

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Firm Client types

Qualifications

Experience

No timeline events available.
Employer Years Dates
Morgan Stanley Private Bank, National Association 1 year, 9 months Jan 2015 - Present
Morgan Stanley Smith Barney 7 years, 4 months Jun 2009 - Present
Morgan Stanleymorgan Stanley & Co. Incorporated 9 years, 5 months May 2007 - Present
Dain Rauscher Incorporated 9 years, 2 months Mar 1998 - May 2007
Are You
Roy F Smalley III?
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Designations & Memberships

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Articles and Answers

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Answers

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Licenses & Conducts

SEC
U.S. Securities and Exchange Commission
  • license status
    Registered
  • disclosures
    None
  • as of date
    Jun 7, 2016
FINRA
FINRA
  • license status
    Registered
  • disclosures
    1
  • as of date
    Jun 7, 2016
Review the status and details of the disclosures noted above using the SEC's Investment Advisor Public Disclosure website:

Assets

Morgan Stanley

Last updated on Sept. 9, 2016
    • $535.9B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 2M
      Accounts
    • $342.7K
      Estimated Average Account Balance

Fees

Types of Compensation Arrangements

  • Percentage Of Assets
  • Fixed Fees
  • Commissions
  • Other
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