MB
MB
Marc Baumgaertel is a registered investment advisor at Morgan Stanley, based in Seattle, WA, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
601 Union Street, Two Union Square, Suite 5200, Seattle, WA, 98101
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Regulatory History (2)
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Customer Dispute
September 2005Closed-No Action
Customer Dispute
January 2003Settled
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
April 2001 - June 2009 · 8 yrs 2 mos
Citigroup Global Markets INC.Broker
April 2001 - June 2009 · 8 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1988 - April 2001 · 12 yrs 8 mos
State Registrations26 states
AZCACOFLGAHIIDILINMAMDMEMIMNMTNCNJNVNYOHORRITXUTVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.