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Robert Byron Stokes

LPl Financial LLC

Memphis, TN

Memphis, TN

CRD 3263124

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-10-14
TN RA APPROVED 2025-10-13
  • TX RA
    APPROVED_RES
    Since 2025-10-14
  • TN RA
    APPROVED
    Since 2025-10-13

Branch Locations

4672 Barfield Road, Memphis, TN 38117 • United States

Memphis, TN • 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
OrganizationCityStateFromTo
B. Riley Wealth Management Memphis TN 04/2009 10/2025
B. Riley Wealth Advisors, Inc. Memphis TN 07/2022 10/2025
Lpl Financial Llc Memphis TN 10/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-24
S63 Uniform Securities Agent State Law Examination 1999-09-03
  • S65 Uniform Investment Adviser Law Examination
    1999-09-24
  • S63 Uniform Securities Agent State Law Examination
    1999-09-03

View on SEC IAPD

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