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Roy Smalley is a registered investment advisor at Morgan Stanley, based in Minneapolis, MN, with 28 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
225 South 6th Street, Minneapolis, MN, 55402
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Regulatory History (1)
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Customer Dispute
December 2000Settled
Other 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
February 2014 - Present · 12 yrs 7 mos
Morgan StanleyBroker
June 2009 - Present · 17 yrs 3 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
May 2007 - June 2009 · 2 yrs 1 mo
RBC Dain Rauscher INC.
April 2005 - May 2007 · 2 yrs 1 mo
RBC Dain Rauscher INC.Broker
March 1998 - May 2007 · 9 yrs 2 mos
Dain Rauscher IncorporatedBroker
April 1997 - March 1998 · 11 mos
State Registrations34 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.