Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marc? Claim Your ProfileMarc Baumgaertel is a financial advisor with Morgan Stanley, a firm that has been serving clients since 1935. Marc has been in the financial services industry since 1988. Marc is registered with FINRA and has the following securities licenses: Series 7, Series 63, and Series 65. Marc is also registered with the state of Washington and Texas. Marc specializes in providing asset allocation advice and financial planning to individuals, businesses, investment companies and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
WA
06/01/2009 - Present
Morgan Stanley (Seattle WA)
WA
04/06/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SEATTLE WA)
NY
08/25/1988 - 04/10/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/26/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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