Roy Smalley is a registered investment advisor at Morgan Stanley, based in Minneapolis, MN, with 29 years of industry experience. Roy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.
Location
225 South 6th Street, Minneapolis, MN, 55402
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Regulatory History (1)
Customer Dispute
December 2000Other Business Activities
Roy works as a baseball analyst for Souhan-Smalley Podcasts as an independent contractor since 2016. This activity is not investment-related and appears to take minimal time.
Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
RBC Dain Rauscher INC.
RBC Dain Rauscher INC.Broker
Dain Rauscher IncorporatedBroker
State Registrations34 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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