Individual Firm
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DALE A WATERS JR.
DALE A. WATERS JR., DALE ALLEN WATERS JR, DALE ALLEN WATERS, DALE WATERS, DALE ALLEN WATERS JR JR…
CRD#: 2155333
IA
B
MORGAN STANLEYCRD#: 149777 303 International Circle
Suite 500
Hunt Valley, MD 21030
Suite 500
Hunt Valley, MD 21030
View By:
10/17/2003
Customer Dispute
Denied
State Registrations
B
Alaska 4/5/2024
B
New Jersey 4/5/2024
B
Arkansas 4/5/2024
IA
New Jersey 4/5/2024
B
California 4/5/2024
B
New Mexico 4/5/2024
B
Colorado 4/5/2024
B
New York 4/5/2024
B
Delaware 4/5/2024
B
North Carolina 4/5/2024
B
District of Columbia 4/5/2024
B
Ohio 6/1/2024
B
Florida 4/5/2024
B
Pennsylvania 4/5/2024
B
Georgia 4/5/2024
B
South Carolina 4/5/2024
B
Maine 5/29/2024
B
Texas 4/5/2024
B
Maryland 4/5/2024
IA
Texas 4/5/2024
IA
Maryland 4/5/2024
B
Vermont 4/5/2024
B
Massachusetts 4/5/2024
B
Virginia 4/5/2024
B
Minnesota 4/5/2024
B
Washington 4/5/2024
B
New Hampshire 4/5/2024
B
Wisconsin 4/5/2024
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/5/2024
B
Registered with this firm since 4/5/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/12/2014 - 04/12/2024 | MARGATE CITY, NJ | |
B | 12/12/2014 - 04/12/2024 | MARGATE CITY, NJ | |
IA | 12/05/2008 - 12/23/2014 | HUNT VALLEY, MD | |
B | 12/05/2008 - 12/23/2014 | HUNT VALLEY, MD | |
IA | 04/02/2007 - 12/09/2008 | HUNT VALLEY, MD | |
B | 04/02/2007 - 12/09/2008 | HUNT VALLEY, MD | |
IA | 07/05/2002 - 04/02/2007 | HUNT VALLEY, MD | |
B | 07/05/2002 - 04/02/2007 | HUNT VALLEY, MD | |
IA | 03/02/1999 - 07/11/2002 | LUTHERVILLE, MD | |
B | 02/18/1999 - 07/11/2002 | NEW YORK, NY | |
B | 09/01/1997 - 02/18/1999 | BALTIMORE, MD | |
B | 10/08/1996 - 09/01/1997 | ||
B | 08/13/1991 - 10/11/1996 | BALTIMORE, MD |
MARGATE CITY, NJ
12/12/2014 - 04/12/2024
MARGATE CITY, NJ
12/12/2014 - 04/12/2024
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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