DW
DW

Dale Waters

34 Years of Experience
Hunt Valley, MD
1 DisclosureBroker

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

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2003
Denied
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.