Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ROY F SMALLEY III
ROY SMALLEY
CRD#: 2858152
IA
B
MORGAN STANLEYCRD#: 149777 225 South 6th Street
Minneapolis, MN 55402
Minneapolis, MN 55402
View By:
12/14/2000
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
Arkansas 3/17/2023
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 6/1/2010
B
Delaware 11/4/2021
B
Ohio 8/7/2024
B
District of Columbia 6/1/2009
B
Oregon 1/6/2014
B
Florida 6/1/2009
B
Pennsylvania 8/27/2013
B
Georgia 3/31/2020
B
Tennessee 8/18/2021
B
Illinois 4/21/2011
B
Texas 6/1/2009
B
Iowa 6/1/2009
IA
Texas 11/28/2016
B
Kansas 6/1/2009
B
Utah 8/8/2023
B
Michigan 5/4/2012
B
Virginia 6/1/2009
B
Minnesota 6/1/2009
B
Washington 6/1/2009
IA
Minnesota 2/5/2014
B
Wyoming 6/1/2009
B
Montana 7/10/2020
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/5/2014
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/18/2007 - 06/01/2009 | MINNEAPOLIS, MN | |
IA | 04/19/2005 - 05/31/2007 | MINNEAPOLIS, MN | |
B | 03/02/1998 - 05/31/2007 | MINNEAPOLIS, MN | |
B | 04/25/1997 - 03/02/1998 |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.