Individual Firm
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MARC W BAUMGAERTEL
MARC WARREN BAUMGAERTEL, MARC WARREN
CRD#: 1856979
IA
B
MORGAN STANLEYCRD#: 149777 601 Union Street, Two Union Square
Suite 5200
Seattle, WA 98101
Suite 5200
Seattle, WA 98101
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9/26/2005
Customer Dispute
Closed-No Action
1/13/2003
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
B
Montana 6/1/2009
B
California 6/1/2009
B
Oregon 6/1/2009
B
Colorado 7/30/2015
B
Texas 6/1/2009
B
Florida 8/23/2023
IA
Texas 2/24/2020
B
Hawaii 2/7/2023
B
Virginia 6/1/2009
B
Idaho 5/5/2023
B
Washington 6/1/2009
B
Illinois 4/12/2023
IA
Washington 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/19/2001 - 06/01/2009 | SEATTLE, WA | |
B | 04/06/2001 - 06/01/2009 | SEATTLE, WA | |
B | 08/25/1988 - 04/10/2001 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.