Expert Review

Daniel Marting- Exposed to FINRA Charges or not? (New Update 2023)

1

Who is Daniel Marting (CRD#: 2380678)?

A group of seven highly skilled experts at Morgan Stanley, led by managing director and founding member of The Camelback Financial Services Organisation Daniel Marting, offers wealth management services for affluent and extremely high net worth families both domestically and abroad.

In addition to being a Certified Financial Planner, Daniel Marting is the esteemed Family Wealth Advisor at Morgan Stanley.

Being a Managing Director places Daniel Marting among the top Financial Advisors within the company. Daniel also holds the Morgan Stanley certification of Alternative Investments Director, which is given to Financial Advisors who have heavily integrated investment alternatives into their practices.

Daniel Marting has expertise in various investment fields, including real estate, private equity, and private credit. He received his General Finance Bachelor’s degree at Arizona State University.

2

About Morgan Stanley Wealth Management:

The American global financial services company Morgan Stanley Wealth Management specializes in retail brokerage. It is a department inside Morgan Stanley’s wealth and investment management group. On January 13, 2009, Citigroup made the decision to transfer 51 percent of Smith Barney to Morgan Stanley, Inc. to establish the erstwhile Citi Global Wealth Management-affiliated Mogan Stanley Barney.

The rebranding of Morgan Stanley’s wealth management division in the United States as “Morgan Stanley Wealth Management” was announced on September 25, 2012.

Early beginning:

Charles D. Barney & Co. and Edward B. Smith & Co. merged to establish Smith Barney & Co. in 1938. The acquisition of Smith Barney and Morgan Stanley’s International Wealth Management Group was announced on January 13, 2009, with Morgan Stanley investing Citigroup $2.7 billion in cash upfront for a 51% interest in the joint venture. Operating under Morgan Stanley Smith Barney is the joint venture.

Morgan Stanley Wealth Management offers a wide variety of financial services to satisfy the various demands of its clients. Among others, they consist of:

Financial Planning

Each of the many trading and advisory services that Morgan Stanley Financial Management provides to its clients may result in a unique relationship with unique responsibilities to you.

Professional Portfolio Management

The investment advisory programs offered by Morgan Stanley Wealth Management, Inc. may have minimum asset requirements and may not be suitable for you based on your individual goals for investing and financial situation.

25/11/2023 Update
As of now, Daniel Marting has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by their victims. Furthermore, he has only focused on propagating his fake PR.
3

Daniel Marting Disclosures: BrokerCheck, FINRA, And SEC Reports

The brokerCheck report of Daniel Marting includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, arbitration awards, and disclosure events.

This type of disclosure event involves:

(1) a consumer-initiated, investment-related arbitration or civil suit containing allegations of sales practice violations against the individual broker that was dismissed, withdrawn, or denied

(2) a consumer-initiated, investment-related written complaint containing allegations that the broker engaged in sales practice violations resulting in compensatory damages of at least $5000, forgery, theft, or misappropriation, or conversation of funds or securities, which was closed without action, withdrawn, or denied.

Based on the BrokerCheck report, the client claims that the excessive and inappropriate use of an option approach in her account caused $136,224 in damages.

Financial Advisors often remove their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.

FINRA’s BrokerCheck

individual_2380678.pdf (finra.org)

SEC Litigations & Forms

Capture 2

Source: Daniel Marting – SEC Site Search Search Results

4

Daniel Marting Lawsuits, Legal Battles, & Disputes

The majority of court cases brought in the US are stored on CourtListener, UniCourt, Law.com, Justia, Trellis Law, and Law360. Using the links below, you may find the relevant documents if Daniel Marting was ultimately charged in any such lawsuits.

There might be more pending lawsuits against Daniel Marting which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Daniel Marting on these websites, you can contact the local authorities and check if they have a physical copy of any cases.

5

Daniel Marting Complaints, Class Action Lawsuits & Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Daniel Marting using the websites down below:

You can contact the law firms mentioned above if facing issues with Daniel Marting or any financial advisor.

6

Frequently Asked QuestionsFind the answers to your most common questions related to Daniel Marting & Morgan Stanley Wealth Management

Where is Daniel Marting located?

Phoenix

What are Daniel Marting’s qualifications

General Finance Bachelor’s degree

Is Daniel Marting facing any lawsuits?

Yes

Has Daniel Marting been charged by the SEC?

No

How do I contact Daniel Marting?

LinkedIn.com/in/daniel-marting-cfp-b90ba319

Does Daniel Marting have any disclosures?

Yes

Which Firm does Daniel Marting work with?

Morgan Stanley Wealth Management

What is Daniel Marting’s CRD Number?

CRD#: 2380678
7

Better Alternatives To Daniel Marting (By Experts):Find the top 3 alternatives to Daniel Marting

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
Assets Managed
Pros
Cons
image 999
Summit Rock Advisors
#1 Rated Investment Advisor
Get in touch
Assets Managed
$19.9 Billion
Pros
0 Disciplinary Actions
1:2 advisor/client ratio
Cons
3 Conflict Laerts
Top Recommendation
image 1001
Fort Washington Investment Advisors
Best Customer Service In The Market
Get in touch
Assets Managed
$52.42 Billion
Pros
Good advisor/client ratio
Reputed
Cons
None
1625686851535
Fisher
Investments
Highest Rated On Independent Platforms
Get in touch
Assets Managed
$17.3 Billion
Pros
Fee-only
High overall rating
Cons
Several complaints on platforms
You can check out the top 10 financial advisors in the U.S. to learn more.

We will be happy to hear your thoughts

Leave a reply

Gripeo
Logo