David C. Stokes

STOKES FAMILY OFFICE

NEW ORLEANS, LA 70163

CRD#: 1206789

Some features on this profile are disabled

Professional summary

David Carl Stokes, CFP®, who also goes by Dave Stokes, is a registered financial advisor currently at STOKES FAMILY OFFICE LLC located in New Orleans, Louisiana.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. David has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Planning

Retirement Income Management

Retirement Planning

Estate Planning

Comprehensive Financial Planni...

Are you a "fiduciary"?

Yes

Aliases

Dave Stokes

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carl Stokes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

May 30, 2019 - Present

STOKES FAMILY OFFICE LLC

Office #1: 1100 Poydras St Ste. 2775, New Orleans, LA 70163

RIA

CRD#: 300899

NEW ORLEANS, LA

Past

October 13, 2014 - July 16, 2019

STOKES & HUBBELL CAPITAL MANAGEMENT, LLC

RIA

CRD#: 172937

NEW ORLEANS, LA

Past

October 10, 2014 - May 24, 2019

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

New Orleans, LA

Past

May 20, 1992 - July 2, 2008

STOKES & HUBBELL CAPITAL MANAGEMENT INC

RIA

CRD#: 104756

METAIRIE, LA

Past

June 25, 1985 - October 13, 2014

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

NEW ORLEANS, LA

Past

June 25, 1985 - October 13, 2014

CETERA WEALTH SERVICES, LLC

CRD#: 13572

NEW ORLEANS, LA

Past

November 25, 1983 - July 19, 1985

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STOKES FAMILY OFFICE LLC

STOKES FAMILY OFFICE LLC | STOKES INVESTMENT PARTNERS, LLC | STOKES INSTITUTIONAL

CRD#: 300899 / SEC#: 801-115261

RIA

Registered Investment Advisory firm - (5/13/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(5/30/2019)

IAR

Texas
(5/31/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/25/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/27/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/1984

General Securities Principal Examination

Current Firm

STOKES FAMILY OFFICE LLC

STOKES FAMILY OFFICE LLC | STOKES INVESTMENT PARTNERS, LLC | STOKES INSTITUTIONAL

CRD#: 300899 / SEC#: 801-115261

RIA

Registered Investment Advisory firm - (5/13/2019 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1100 Poydras St Ste. 2775, New Orleans, LA 70163

Mailing Address

Phone number

(504) 399-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-12-19 STOKES FAMILY OFFICE FORM ADV PART 2A (12/19/2025)

Regulatory assets under management

Total Number of Accounts	2,052
AUM (Assets Under Management)	$ 2,475,148,256

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/26/2026	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Alan Brockhaus

RITHOLTZ WEALTH MANAGEMENT

IAR

New Orleans, LA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David C. Stokes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carl Stokes's CRS (Customer Relationship Summary).

Certified licenses

Experience

STOKES & HUBBELL CAPITAL MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

STOKES & HUBBELL CAPITAL MANAGEMENT INC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

FINANCIAL PLANNERS EQUITY CORPORATION

Primary Firm SEC Registration

STOKES FAMILY OFFICE LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/25/1984

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1983

Series 51

Date: 3/27/2003

Series 24

Date: 8/24/1984

Current Firm

STOKES FAMILY OFFICE LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STOKES FAMILY OFFICE LLC

TRUST BUT VERIFY

Contact information

Similar Advisors