Roy Thomas Smith
Professional Summary
Roy Thomas Smith, who also goes by Tom Smith, is a registered financial advisor currently at JOHNSTONE BROKERAGE SERVICES, LLC located in Louisville, Kentucky. Roy is registered as a RR (Registered Representative) and started their career in finance in 1995. Roy has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Roy Thomas Smith, Tom Smith
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
32 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
JOHNSTONE BROKERAGE SERVICES, LLC
Contact Information
Main Address
1906 Stanley Gault Parkway, Louisville, KY 40223Mailing Address
117 San Augustine Street, Center, TX 75935Phone Number
(936) 340-2929Established
Texas since 12/31/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed May 2023About the Series 6TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1995About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Roy Thomas Smith's CRS (Customer Relationship Summary).
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