Dale Allen Waters

Hunt Valley, MD

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2024-04-05
TX	RA	APPROVED	2024-04-05

MD RA
APPROVED

Since 2024-04-05
TX RA
APPROVED

Since 2024-04-05

Branch Locations

303 International Circle Suite 500, Hunt Valley, MD 21030 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Hunt Valley	MD	05/2018	04/2024
University Of Virginia	Charlottesville	VA	08/2014	05/2018
Bank Of America, N.A.	Hunt Valley	MD	06/2018	04/2024
Morgan Stanley Smith Barney Llc	Hunt Valley	MD	04/2024	Present
Morgan Stanley Private Bank, N.A	New York	NY	04/2024	Present

05/2018 → 04/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD
08/2014 → 05/2018

University Of Virginia

Charlottesville, VA
06/2018 → 04/2024

Bank Of America, N.A.

Hunt Valley, MD
04/2024 → Present

Morgan Stanley Smith Barney Llc

Hunt Valley, MD
04/2024 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2018-08-17 → 2024-04-12

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-08-16

S66 Uniform Combined State Law Examination

2018-08-16

Designations

Other Names

Dale A Waters

View on SEC IAPD

Other Firms

BAY HARBOR WEALTH MANAGEMENT, LLC

ABS CAPITAL PARTNERS, INC.

GROFF WEALTH MANAGEMENT

MONUMENTAL WEALTH, LLC

BUSH RIVER TRUST, LLC

OSAIC WEALTH, INC.

INDEPENDENT FINANCIAL PARTNERS

AE WEALTH MANAGEMENT, LLC

Other Investors

Andrew Benjamin Anthony

LANCE REID SCOTT

JOHN FRANCIS MORAN

Jack Richard Sweiderk

WILSON CROSBY TALIAFERRO

Cristina Polvinale Kothari

JOHN LUKE CHARLTON

Other Offices

BAY HARBOR WEALTH MANAGEMENT, LLC · HUNT VALLEY, MD

ABS CAPITAL PARTNERS, INC. · HUNT VALLEY, MD

GROFF WEALTH MANAGEMENT · HUNT VALLEY, MD

MONUMENTAL WEALTH, LLC · HUNT VALLEY, MD

BUSH RIVER TRUST, LLC · HUNT VALLEY, MD

OSAIC WEALTH, INC. · HUNT VALLEY, MD

INDEPENDENT FINANCIAL PARTNERS · Hunt Valley, MD

AE WEALTH MANAGEMENT, LLC · Hunt Valley, MD

More in Hunt Valley, MD

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