DW
DW
Darren Wald is a registered investment advisor at Morgan Stanley, based in Santa Monica, CA, with 30 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
100 Wilshire Boulevard, Suite 1900, Santa Monica, CA, 90401
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Regulatory History (4)
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 2000Settled
Customer Dispute
September 2000Settled
Customer Dispute
October 1998Denied
Customer Dispute
April 1998Denied
Other Business Activities
Darren holds a board seat in Pali Riptide, a local baseball league, since June 2019. This activity is not investment-related and takes minimal time outside of business hours.
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 17 yrs 3 mos
Morgan StanleyBroker
June 2009 - Present · 17 yrs 3 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
June 2007 - June 2009 · 2 yrs
Morgan Stanley & CO. IncorporatedBroker
June 2007 - June 2009 · 2 yrs
RBC Dain Rauscher INC.
May 2002 - June 2007 · 5 yrs 1 mo
RBC Dain Rauscher INC.Broker
March 2002 - June 2007 · 5 yrs 3 mos
Sutro & CO. IncorporatedBroker
December 2001 - March 2002 · 3 mos
Deutsche Banc Alex. Brown INC.Broker
January 2001 - November 2001 · 10 mos
Db Alex. Brown LLCBroker
August 1998 - January 2001 · 2 yrs 5 mos
Prudential Securities IncorporatedBroker
April 1997 - June 1998 · 1 yr 2 mos
Smith Barney INC.Broker
April 1995 - April 1997 · 2 yrs
State Registrations26 states
AZCACOCTDEFLGAHIILLAMAMDMNNCNJNVNYOKORPATNTXUTVTWAWY
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.