Roy T. Smith
Professional summary
Roy Thomas Smith, who also goes by Tom Smith, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roy Thomas Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2023 - Present
JOHNSTONE BROKERAGE SERVICES, LLC
Office #1: 1906 Stanley Gault Parkway, Louisville, KY 40223May 11, 2023 - July 31, 2025
THE LEADERS GROUP, INC.
May 6, 2015 - November 30, 2017
PRINCIPAL FUNDS DISTRIBUTOR, INC.
February 23, 2005 - February 2, 2021
PRINCIPAL SECURITIES, INC.
October 30, 1995 - February 2, 2021
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 5/11/2023
General Securities Representative ExaminationSeries 6TO
Date: 5/11/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
JOHNSTONE BROKERAGE SERVICES, LLC
CRD#: 301394 / SEC#: , 8-70335
Contact information
FINRA licenses (50 States and Territories)
Red Flags
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Company Information
JOHNSTONE BROKERAGE SERVICES, LLC
CRD#: 301394Louisville, KY 40223TRUST BUT VERIFY
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