AD
CFP
AD
CFP
Arthur Dumm is a CFP-designated registered investment advisor at Morgan Stanley, based in Dallas, TX, with 19 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
2121 North Pearl Street, Suite 500, Dallas, TX, 75201
Get directionsHistory
Regulatory History (1)
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Employment Separation After Allegations
June 2014Other Business Activities
Arthur is involved with Siete al Cubo, LP, a recreation-related investment in Dallas, Texas, since February 2022. This activity requires minimal time outside of business hours for administrative tasks.
Employment History
Current Registrations
Morgan StanleyBroker
January 2022 - Present · 4 yrs 4 mos
Morgan Stanley
January 2022 - Present · 4 yrs 4 mos
Previous Registrations
PNC Investments
August 2021 - January 2022 · 5 mos
PNC InvestmentsBroker
August 2021 - January 2022 · 5 mos
PNC Managed Account Solutions, INC.
September 2014 - August 2021 · 6 yrs 11 mos
Bbva Securities INC.Broker
August 2014 - August 2021 · 7 yrs
Pruco Securities, LLC.Broker
December 2012 - July 2014 · 1 yr 7 mos
Prudential Financial Planning Services
December 2012 - July 2014 · 1 yr 7 mos
Metlife Securities INC.
November 2009 - October 2012 · 2 yrs 11 mos
Metlife Securities INC.Broker
November 2009 - October 2012 · 2 yrs 11 mos
Associated Securities CORP.
November 2007 - January 2009 · 1 yr 2 mos
Associated Securities CORP.Broker
November 2007 - January 2009 · 1 yr 2 mos
Merrill Lynch Pierce Fenner & Smith INC.
December 2005 - August 2007 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2005 - August 2007 · 1 yr 9 mos
State Registrations7 states
ARCACONCNYOKTX
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.