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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Roy Edward Bennett

Advisor at SMART INVESTMENTS ADVISORY INCORPORATED

REDLANDS, CA

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Search this name across graphsid dfx:ria:fcab7f01-37a0-57e1-bcb2-6752db667ba8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 24, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SMART INVESTMENTS ADVISORY INCORPORATED
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 21, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 21, 1997
First registration: Aug 24, 1998
Dual registered: yes, broker-dealer
IAPD individual key: 2857389

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SMART INVESTMENTS ADVISORY INCORPORATED	State registered	Dec 8, 2006	n/a	yes	REDLANDS, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Jun 3, 2020	May 27, 2025	no	Redlands, CA\|Redlands, CA\|Pasadena, CA	Previous registration
WBB SECURITIES, LLC	State registered	Dec 5, 2006	Aug 12, 2008	no	REDLANDS, CA	Previous registration
SMART INVESTMENTS ADVISORY INCORPORATED	State registered	Aug 18, 2005	Dec 7, 2006	no	LOS ANGELES, CA\|REDLANDS, CA\|REDLANDS, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 24, 1998	Aug 29, 2005	no	ONTARIO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WESTERN INTERNATIONAL SECURITIES	n/a	May 27, 2025	n/a	n/a	Departure no registered destination	Departure
WBB SECURITIES, LLC	SMART INVESTMENTS ADVISORY INCORPORATED	Aug 12, 2008	Dec 8, 2006	-613	Firm change after gap	Other
SMART INVESTMENTS ADVISORY INCORPORATED	WBB SECURITIES, LLC	Dec 7, 2006	Dec 5, 2006	-2	Firm change	Other
MORGAN STANLEY DW INC.	SMART INVESTMENTS ADVISORY INCORPORATED	Aug 29, 2005	Aug 18, 2005	-11	Firm change	Other

Relationships

Registered with (4)

→ SMART INVESTMENTS ADVISORY INCORPORATEDRegistered adviserregistration: previous registration
Aug 18, 2005 to Dec 7, 2006factForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Jun 3, 2020 to May 27, 2025factForm ADV
→ WBB SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 5, 2006 to Aug 12, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 24, 1998 to Aug 29, 2005factForm ADV

Dated events

Occurred
May 27, 2025
Advisor departed, no destination yet
Roy Edward Bennett no longer registered at Western International Securities; no later IA registration on IAPD
Form ADVobserved 5 days ago