Arthur Randolph Dumm

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2014 → 08/2021
  Bbva Securities Inc.
  Dallas, TX
• 08/2014 → 08/2021
  Compass Bank
  Birmingham, AL
• 09/2014 → 08/2021
  Bbva Wealth Solutions Inc.
  Dallas, TX
• 08/2014 → 08/2021
  Bbva Compass Insurance Agency, Inc.
  Austin, TX
• 08/2021 → 01/2022
  Pnc Investments
  Dallas, TX
• 01/2022 → Present
  Morgan Stanley
  Dallas, TX
• 03/2022 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2021-08-19 → 2022-01-26
  Pnc Wealth Management Llc
  Dallas, TX
• 2014-09-11 → 2021-08-17
  Pnc Managed Account Solutions, Inc.
  Dallas, TX
• 2012-12-06 → 2014-07-10
  Pruco Securities, Llc.
  Plano, TX
• 2009-11-16 → 2012-10-03
  Msi Financial Services, Inc.
  Dallas, TX
• 2007-11-30 → 2009-01-27
  Associated Securities Corp.
  Arlington, TX
• 2005-12-12 → 2007-08-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX
  Dallas, TX

Other Businesses

*484891- Siete al Cubo, LP; Investment related Yes; Dallas, Texas; Recreation; Role/position/job title (proprietor, partner, officer, director, employee, trustee, agent); 02/2022; During business hours: 0; After business hours: 1; Administrative

Exams

• S66 Uniform Combined State Law Examination
  2005-12-09

Designations

• Certified Financial Planner

Other Names

• Art Dumm