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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

DALE A WATERS

Advisor at MORGAN STANLEY

Margate City, NJ | Hunt Valley, MD

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 2, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 7, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Aug 7, 1991
First registration: Mar 2, 1999
Dual registered: yes, broker-dealer
Other names: DALE ALLEN WATERS|DALE WATERS|DALE ALLEN WATERS|DALE ALLEN WATERS JR|DALE A. WATERS|DALE ALLEN WATERS|DALE JR.,DALE WATERS JR.
IAPD individual key: 2155333

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Apr 5, 2024	n/a	yes	Hunt Valley, MD\|Margate City, NJ\|Hunt Valley, MD	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 12, 2014	Apr 12, 2024	no	HUNT VALLEY, MD\|Hunt Valley, MD\|MARGATE CITY, NJ	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 5, 2008	Dec 23, 2014	no	HUNT VALLEY, MD	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Dec 9, 2008	no	HUNT VALLEY, MD\|HUNT VALLEY, MD	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 5, 2002	Apr 2, 2007	no	HUNT VALLEY, MD\|HUNT VALLEY, MD	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 2, 1999	Jul 11, 2002	no	LUTHERVILLE, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Apr 12, 2024	Apr 5, 2024	-7	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 23, 2014	Dec 12, 2014	-11	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	UBS FINANCIAL SERVICES INC.	Dec 9, 2008	Dec 5, 2008	-4	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY DW INC.	Jul 11, 2002	Jul 5, 2002	-6	Firm change	Other

Relationships

Registered with (6)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Apr 5, 2024 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 12, 2014 to Apr 12, 2024factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Dec 5, 2008 to Dec 23, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Dec 9, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 5, 2002 to Apr 2, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 2, 1999 to Jul 11, 2002factForm ADV

Dated events

Occurred
Apr 12, 2024
Advisor changed firm
Dale A Waters left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2024-04-05)
Form ADVobserved 5 days ago