Individual Firm
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DALE WILLIAMS WHITMER
DALE WHITMER
CRD#: 5040330
IA
B
MORGAN STANLEYCRD#: 149777 1333 North California Boulevard
Suite 133
Walnut Creek, CA 94596
Suite 133
Walnut Creek, CA 94596
0
Disclosures
16
Years of Experience
View By:
State Registrations
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Alabama 1/31/2014
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Nebraska 1/31/2014
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Alaska 1/31/2014
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Nevada 1/31/2014
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Arizona 1/31/2014
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New Hampshire 1/31/2014
B
Arkansas 1/31/2014
B
New Jersey 1/31/2014
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California 1/31/2014
B
New Mexico 1/31/2014
IA
California 1/31/2014
B
New York 1/31/2014
B
Colorado 1/31/2014
B
North Carolina 2/3/2014
B
Connecticut 1/31/2014
B
North Dakota 1/31/2014
B
Delaware 1/31/2014
B
Ohio 2/3/2014
B
District of Columbia 1/31/2014
B
Oklahoma 1/31/2014
B
Florida 1/31/2014
B
Oregon 1/31/2014
B
Georgia 1/31/2014
B
Pennsylvania 1/31/2014
B
Hawaii 1/31/2014
B
Puerto Rico 1/31/2014
B
Idaho 1/31/2014
B
Rhode Island 1/31/2014
B
Illinois 1/31/2014
B
South Carolina 1/31/2014
B
Indiana 1/31/2014
B
South Dakota 1/31/2014
B
Iowa 1/31/2014
B
Tennessee 1/31/2014
B
Kansas 1/31/2014
B
Texas 1/31/2014
B
Kentucky 1/31/2014
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Texas 2/3/2014
B
Louisiana 1/31/2014
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Utah 1/31/2014
B
Maine 1/31/2014
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Vermont 1/31/2014
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Maryland 1/31/2014
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Virgin Islands 1/31/2014
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Massachusetts 1/31/2014
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Virginia 1/31/2014
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Michigan 1/31/2014
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Washington 1/31/2014
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Minnesota 1/31/2014
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West Virginia 1/31/2014
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Mississippi 1/31/2014
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Wisconsin 1/31/2014
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Missouri 1/31/2014
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Wyoming 1/31/2014
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Montana 1/31/2014
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/31/2014
B
Registered with this firm since 1/31/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/13/2012 - 11/06/2013 | SAN FRANCISCO, CA | |
B | 02/13/2012 - 11/06/2013 | SAN FRANCISCO, CA | |
IA | 12/23/2008 - 12/15/2011 | SAN FRANCISCO, CA | |
B | 12/19/2008 - 12/15/2011 | SAN FRANCISCO, CA | |
IA | 10/27/2008 - 01/02/2009 | SAN FRANCISCO, CA | |
B | 06/20/2008 - 01/02/2009 | SAN FRANCISCO, CA |
SAN FRANCISCO, CA
10/27/2008 - 01/02/2009
SAN FRANCISCO, CA
06/20/2008 - 01/02/2009
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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.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.