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Arnold Thomas Lies

Morgan Stanley

Lisle, IL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • IL RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

4225 Naperville Road Suite 255, Lisle, IL 60532 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Lisle IL 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Lisle, IL
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2008-11-28 → 2009-06-01
    Morgan Stanley & Co. Llc
    Lisle, IL
  • 1998-09-15 → 2008-12-15
    Citigroup Global Markets Inc.
    Oakbrook Terrace, IL
    Oakbrook Terrace, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-25
S63 Uniform Securities Agent State Law Examination 1979-10-31
  • S65 Uniform Investment Adviser Law Examination
    1998-08-25
  • S63 Uniform Securities Agent State Law Examination
    1979-10-31

View on SEC IAPD

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Other Offices

ADVISORS ASSET MANAGEMENT, INC. · LISLE, IL
ADVYZON INVESTMENT MANAGEMENT, LLC · LISLE, IL
LPL FINANCIAL LLC · LISLE, IL
BLACKWATCH FINANCIAL GROUP, LLC · LISLE, IL
ON INVESTMENT MANAGEMENT CO · Lisle, IL
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