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Detailed Report
MARCUS N GERINGSWALD
Marcus N Geringswald, Marcus Nicholas Geringswald
CRD#: 6641846
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Towson, MD
Registration History
201620172018201920202021202220232024202520262 FIRMS2021 - Present (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2016 - 2021 (4 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - 2021 (1 year)
License(s)

State Registrations

B
Maryland 7/22/2021
B
Virginia 7/22/2021
IA
Maryland 7/22/2021

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
Towson, MD
Registered with this firm since 7/22/2021
B
MORGAN STANLEY (CRD#:149777)
Towson, MD
Registered with this firm since 7/22/2021
Previous Registration(s)
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IA
 09/13/2019 - 05/25/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNT VALLEY, MD
B
 06/15/2016 - 05/25/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNT VALLEY, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.