Roy Tonning

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-07-14
GA	RA	APPROVED	2025-07-14
TX	RA	APPROVED_RES	2025-07-11

FL RA
APPROVED

Since 2025-07-14
GA RA
APPROVED

Since 2025-07-14
TX RA
APPROVED_RES

Since 2025-07-11

Branch Locations

50 A1A North, Suite 112, Ponte Vedra Beach, FL 32082 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Ponte Vedra Beach	FL	06/2009	05/2017
Ubs Financial Services, Inc.	Ponte Vedra	FL	05/2017	07/2025
Morgan Stanley Smith Barney Llc	Jacksonville	FL	07/2025	Present
Morgan Stanley Private Bank, N.A	New York	NY	08/2025	Present

06/2009 → 05/2017

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ponte Vedra Beach, FL
05/2017 → 07/2025

Ubs Financial Services, Inc.

Ponte Vedra, FL
07/2025 → Present

Morgan Stanley Smith Barney Llc

Jacksonville, FL
08/2025 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2017-05-17 → 2025-07-22

Ubs Financial Services Inc.

Ponte Vedra, FL
2009-08-04 → 2017-05-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ponte Vedra Beach, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-07-28
S63	Uniform Securities Agent State Law Examination	2008-07-18

S66 Uniform Combined State Law Examination

2009-07-28
S63 Uniform Securities Agent State Law Examination

2008-07-18

Other Names

Ken Tonning
Roy Kenneth Tanning
Roy Kenneth Tonning
Roy K Tonning

View on SEC IAPD