Michael S. Marsh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Stephen Marsh, CFA, who also goes by Michael S Marsh, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2006 - November 22, 2019
MANNING & NAPIER ADVISORS, LLC
October 25, 2006 - November 22, 2019
MANNING & NAPIER INVESTOR SERVICES, INC.
April 1, 2005 - September 14, 2006
MMC SECURITIES LLC
February 9, 2001 - April 1, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
May 8, 1998 - January 18, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
March 30, 1998 - April 22, 1998
MFS FUND DISTRIBUTORS, INC.
Primary Firm SEC Registration
MANNING & NAPIER ADVISORS, LLC
CRD#: 105992 / SEC#: 801-10733
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MANNING & NAPIER ADVISORS, LLC
CRD#: 105992 / SEC#: 801-10733
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,279 |
| AUM (Assets Under Management) | $ 18,406,580,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/23/2024 | ||
| 12/21/2023 | ||
| 11/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
