Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dale? Claim Your ProfileDale Waters is a financial advisor with over 30 years of experience in the industry. Dale is currently registered with Morgan Stanley and holds Series 7, 8, 9, 10, 31, 63, and 65 licenses. Dale has a long history of working with various financial institutions, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., and Morgan Stanley & Co. Incorporated. Dale is a financial advisor with a focus on providing portfolio management, financial planning, and asset allocation advice to a wide range of clients, including individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and insurance companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MD
04/05/2024 - Present
Morgan Stanley (Hunt Valley MD)
NJ
12/12/2014 - 04/12/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MARGATE CITY NJ)
MD
12/05/2008 - 12/23/2014
UBS FINANCIAL SERVICES INC. (HUNT VALLEY MD)
MD
04/02/2007 - 12/09/2008
MORGAN STANLEY & CO. INCORPORATED (HUNT VALLEY MD)
MD
07/05/2002 - 04/02/2007
MORGAN STANLEY DW INC. (HUNT VALLEY MD)
NY
02/18/1999 - 07/11/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
MD
09/01/1997 - 02/18/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
10/08/1996 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
MD
08/13/1991 - 10/11/1996
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
IA
Issued 06/17/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/13/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/05/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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