Arthur Randolph Dumm

CRD 5036029 · Morgan Stanley · Dallas, TX

IA RegisteredBroker

Also appears in the source record as: Art Dumm

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 24Series 10Series 9SIESeries 7
Registered states (7): Arkansas · California · Colorado · New York · North Carolina · Oklahoma · Texas
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5036029 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (13)

From the source registration record · current first

Morgan StanleyCurrent
Dallas, TX · IA capacity

Jan 14, 2022 → present
Pnc Investments
IA capacity

Aug 19, 2021 → Jan 26, 2022
Pnc Investments
BD capacity

Aug 16, 2021 → Jan 26, 2022
Pnc Managed Account Solutions, Inc.
IA capacity

Sep 11, 2014 → Aug 17, 2021
Bbva Securities Inc.
BD capacity

Aug 21, 2014 → Aug 16, 2021
Pruco Securities, LLC.
BD capacity

Dec 6, 2012 → Jul 10, 2014
Prudential Financial Planning Services
IA capacity

Dec 6, 2012 → Jul 10, 2014
Metlife Securities Inc.
IA capacity

Nov 16, 2009 → Oct 3, 2012
Metlife Securities Inc.
BD capacity

Nov 2, 2009 → Oct 3, 2012
Associated Securities Corp.
BD capacity

Nov 30, 2007 → Jan 27, 2009
Associated Securities Corp.
IA capacity

Nov 30, 2007 → Jan 27, 2009
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Dec 12, 2005 → Aug 28, 2007
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Nov 14, 2005 → Aug 28, 2007

Source & corrections

Where this page comes from

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