Dale GrubbCRD Number: 1292313
Current Firm: Morgan Stanley
Dale Grubb (CRD# 1292313) is an Investment Advisor Representative working at Morgan Stanley in Sebring, FL and has over 33 years of experience in the finance industry.
Johnson Stivender Wealth Advisors, Inc.
Raymond James Financial Services Advisors, Inc.
J. W. Cole Advisors, Inc.
|Morgan Stanley Private Bank, National Association||New York, NY||Jan 2015 - Current||3|
|Morgan Stanley Smith Barney||Sebring, FL||Jun 2009 - Current||9|
|Citigroup Global Markets Inc.||Sebring, FL||Jul 1993 - Current||24|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1984|
|S65||NASAA Investment Advisors Law Examination||Jan 1992|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management598,503MILLIONS
Total Number of Accounts1,610,240ACCOUNTS
Average Account Value$371,685
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY