Leo C. Arms

THOMAS LEO ADVISORY

Minneapolis, MN 55410

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CRD#: 3242008

Professional summary

Leo Christopher Arms is a registered financial advisor currently at THOMAS LEO ADVISORY, LLC located in Minneapolis, Minnesota.

Leo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Leo has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leo Christopher Arms's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 23, 2017 - Present

THOMAS LEO ADVISORY, LLC

Office #1: 4406 Beard Ave S, Minneapolis, MN 55410

RIA

CRD#: 159271

Minneapolis, MN

Past

May 14, 2014 - December 31, 2016

THOMAS LEO ADVISORY, LLC

RIA

CRD#: 159271

MINNEAPOLIS, MN

Past

June 1, 2009 - November 18, 2011

MORGAN STANLEY

RIA

CRD#: 149777

BLOOMINGTON, MN

Past

June 1, 2009 - November 18, 2011

MORGAN STANLEY

CRD#: 149777

BLOOMINGTON, MN

Past

July 9, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MINNEAPOLIS, MN

Past

April 2, 2007 - December 31, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MINNEAPOLIS, MN

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

MINNEAPOLIS, MN

Past

November 29, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MINNEAPOLIS, MN

Past

November 3, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

MINNEAPOLIS, MN

Past

August 12, 2006 - November 14, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MINNEAPOLIS, MN

Past

July 28, 1999 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THOMAS LEO ADVISORY, LLC

DOLAN WEALTH MANAGEMENT | THOMAS LEO ADVISORY, LLC

CRD#: 159271 / SEC#: 801-112656

RIA

Registered Investment Advisory firm - (3/16/2018 Approved)

Minnesota

Registered Investment Advisory firm - (2/19/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(3/23/2017)

IAR

Texas
(6/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/14/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/26/1999

General Securities Representative Examination

Current Firm

THOMAS LEO ADVISORY, LLC

DOLAN WEALTH MANAGEMENT | THOMAS LEO ADVISORY, LLC

CRD#: 159271 / SEC#: 801-112656

RIA

Registered Investment Advisory firm - (3/16/2018 Approved)

Minnesota

Registered Investment Advisory firm - (2/19/2019 Terminated)

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Contact information

Main Address

4406 Beard Ave S, Minneapolis, MN 55410

Mailing Address

Phone number

(612) 208-1641

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A: FIRM BROCHURE (2/18/2025)

Regulatory assets under management

Total Number of Accounts	362
AUM (Assets Under Management)	$ 169,983,203

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Leo C. Arms

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leo Christopher Arms's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOMAS LEO ADVISORY, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

Primary Firm SEC Registration

THOMAS LEO ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/2014

Series 63

Date: 8/11/1999

Series 7

Date: 7/26/1999

Current Firm

THOMAS LEO ADVISORY, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THOMAS LEO ADVISORY, LLC

TRUST BUT VERIFY

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