AL
AL
Arthur Lopes is a registered investment advisor at Morgan Stanley, based in Rolling Hills Estates, CA, with 23 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
609 Deep Valley Drive, Suite 400, Rolling Hills Estates, CA, 90274
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
September 2023 - Present · 2 yrs 8 mos
Morgan StanleyBroker
March 2023 - Present · 3 yrs 2 mos
Previous Registrations
E*trade Securities LLCBroker
October 2015 - September 2023 · 7 yrs 11 mos
E*trade Capital Management, LLC
October 2015 - September 2023 · 7 yrs 11 mos
Charles Schwab & CO., INC.Broker
September 2010 - October 2015 · 5 yrs 1 mo
Charles Schwab & CO., INC.
September 2010 - October 2015 · 5 yrs 1 mo
National Planning Corporation ("npc of America" in Fl & Ny)
August 2009 - March 2010 · 7 mos
National Planning CorporationBroker
August 2009 - March 2010 · 7 mos
Wedbush Morgan Securities INC.
October 2007 - May 2008 · 7 mos
Wedbush Morgan Securities INC.Broker
September 2007 - May 2008 · 8 mos
Wachovia Securities, LLC
February 2007 - October 2007 · 8 mos
Wachovia Securities, LLCBroker
February 2007 - October 2007 · 8 mos
Envestnet Asset Management, INC.
November 2005 - February 2007 · 1 yr 3 mos
Portfolio Brokerage Services, INC.Broker
November 2005 - February 2007 · 1 yr 3 mos
Charles Schwab & CO., INC.
February 2001 - January 2005 · 3 yrs 11 mos
Charles Schwab & CO., INC.Broker
November 1999 - January 2005 · 5 yrs 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.