Dale A Waters

CRD 2155333 · Morgan Stanley · Hunt Valley, MD

IA RegisteredBroker

Also appears in the source record as: Dale A. Waters Jr.; Dale Allen Waters Jr; Dale Allen Waters; Dale Waters; Dale Allen Waters Jr Jr; Dale Jr.,dale Waters Jr.

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 9Series 10Series 8SIESeries 31Series 7
Registered states (25): Alaska · Arkansas · California · Colorado · Delaware · District Of Columbia · Florida · Georgia · Maine · Maryland · Massachusetts · Minnesota · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Texas · Vermont · Virginia · Washington · Wisconsin
Years in the industry (source record): 35
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2155333 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (14)

From the source registration record · current first

Morgan StanleyCurrent
Hunt Valley, MD · IA capacity

Apr 5, 2024 → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Dec 12, 2014 → Apr 12, 2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Dec 12, 2014 → Apr 12, 2024
Ubs Financial Services Inc.
BD capacity

Dec 5, 2008 → Dec 23, 2014
Ubs Financial Services Inc.
IA capacity

Dec 5, 2008 → Dec 23, 2014
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Dec 9, 2008
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Dec 9, 2008
Morgan Stanley Dw Inc.
BD capacity

Jul 5, 2002 → Apr 2, 2007
Morgan Stanley
IA capacity

Jul 5, 2002 → Apr 2, 2007
Salomon Smith Barney Inc.
IA capacity

Mar 2, 1999 → Jul 11, 2002
Salomon Smith Barney Inc.
BD capacity

Feb 18, 1999 → Jul 11, 2002
Bt Alex. Brown Incorporated
BD capacity

Sep 1, 1997 → Feb 18, 1999
Alex. Brown & Sons Incorporated
BD capacity

Oct 8, 1996 → Sep 1, 1997
Legg Mason Wood Walker, Incorporated
BD capacity

Aug 13, 1991 → Oct 11, 1996

Source & corrections

Where this page comes from

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