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Leo Christopher Arms

Thomas Leo Advisory, LLC

Minneapolis, MN

CRD 3242008

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Employer firm

Thomas Leo Advisory, LLC CRD 159271

$193M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)

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

Current Employers
Thomas Leo Advisory, Llc

4406 Beard Ave S, Minneapolis, MN 55410 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-06-10
MN RA APPROVED 2017-03-23
  • TX RA
    APPROVED_RES
    Since 2024-06-10
  • MN RA
    APPROVED
    Since 2017-03-23

Branch Locations

4406 Beard Ave S, Minneapolis, MN 55410 • 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
Thomas Leo Advisory, Llc Minneapolis MN 11/2011 Present
Previous Registrations
  • 2014-05-14 → 2016-12-31
    Thomas Leo Advisory, Llc
    Minneapolis, MN
  • 2009-06-01 → 2011-11-18
    Morgan Stanley
    Minneapolis, MN
    Bloomington, MN
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Minneapolis, MN
  • 2006-11-29 → 2007-04-02
    Morgan Stanley Dw Inc.
    Minneapolis, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-05-14
S63 Uniform Securities Agent State Law Examination 1999-08-11
  • S65 Uniform Investment Adviser Law Examination
    2014-05-14
  • S63 Uniform Securities Agent State Law Examination
    1999-08-11

View on SEC IAPD

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THRIVENT ASSET MANAGEMENT, LLC
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Nearby Investors

Matthew William Hogan
GREGORY ALAN KLEIN
Bryon Andrew Eggan

Nearby Offices

HAYS FINANCIAL GROUP, LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · MINNEAPOLIS, MN
THRIVENT PRIVATE INVESTMENTS · MINNEAPOLIS, MN

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