DW
DW
Dale Waters is a registered investment advisor at Morgan Stanley, based in Hunt Valley, MD, with 34 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
303 International Circle, Suite 500, Hunt Valley, MD, 21030
Get directionsHistory
Regulatory History (1)
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Customer Dispute
October 2003Denied
Employment History
Current Registrations
Morgan StanleyBroker
April 2024 - Present · 2 yrs 1 mo
Morgan Stanley
April 2024 - Present · 2 yrs 1 mo
Morgan Stanley
April 2024 - Present · 2 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
December 2014 - April 2024 · 9 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2014 - April 2024 · 9 yrs 4 mos
UBS Financial Services INC.
December 2008 - December 2014 · 6 yrs
UBS Financial Services INC.Broker
December 2008 - December 2014 · 6 yrs
Morgan Stanley & CO. IncorporatedBroker
April 2007 - December 2008 · 1 yr 8 mos
Morgan Stanley & CO. Incorporated
April 2007 - December 2008 · 1 yr 8 mos
Morgan Stanley Dw INC.Broker
July 2002 - April 2007 · 4 yrs 9 mos
Morgan Stanley
July 2002 - April 2007 · 4 yrs 9 mos
Salomon Smith Barney INC.
March 1999 - July 2002 · 3 yrs 4 mos
Salomon Smith Barney INC.Broker
February 1999 - July 2002 · 3 yrs 5 mos
Bt Alex. Brown IncorporatedBroker
September 1997 - February 1999 · 1 yr 5 mos
Alex. Brown & Sons IncorporatedBroker
October 1996 - September 1997 · 11 mos
Legg Mason Wood Walker, IncorporatedBroker
August 1991 - October 1996 · 5 yrs 2 mos
State Registrations25 states
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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.