Mary E. Stokes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Eveline Stokes, CFP® was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1983. Mary had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2003
Experience
May 15, 2024 - October 8, 2024
CETERA INVESTMENT ADVISERS LLC
May 15, 2024 - October 8, 2024
CETERA FINANCIAL SPECIALISTS LLC
August 12, 2021 - June 4, 2024
SECURITIES AMERICA ADVISORS, INC.
September 20, 2005 - June 4, 2024
SECURITIES AMERICA, INC.
August 1, 2003 - September 26, 2005
WALNUT STREET SECURITIES, INC.
March 20, 1996 - December 6, 2001
VOYA FINANCIAL PARTNERS, LLC
December 1, 1995 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
May 10, 1993 - December 21, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 10, 1993 - December 21, 1995
SIGNATOR INVESTORS, INC.
June 19, 1990 - April 29, 1993
NEW ENGLAND SECURITIES
July 31, 1989 - June 11, 1990
GUARDIAN INVESTOR SERVICES LLC
August 15, 1983 - February 23, 1989
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
