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David Carl Stokes

David C. Stokes

STOKES FAMILY OFFICE LLC
New Orleans, LA 70163
Some features on this profile are disabled
CRD#: 1206789
David Carl Stokes

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.

top-8-questions

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.
STOKES ASSET MANAGEMENT, LLC INVESTMENT-RELATED 1100 POYDRAS ST, SUITE 2775, NEW ORLEANS, LA 70163 REGISTERED INVESTMENT ADVISER PRINCIPAL MAY 25, 2022 0-5 HOURS PER MONTH 0-5 HOURS DURING TRADING HOURS MANAGEMENT OF THE BUSINESS WHITEFISH LAPLAYA, LLC NOT INVESTMENT-RELATED SAN DIEGO, CA RENTAL PROPERTY OWNER 05/23/2022 0-5 HOURS PER MONTH 0-5 HOURS DURING TRADING HOURS MANAGE RENTAL PROPERTY DAVE GREG DOUG, L.L.C. INVESTMENT-RELATED 1100 POYDRAS ST., SUITE 2775, NEW ORLEANS, LA 70163 L.L.C. FORMED FOR PRIVATE INVESTMENT HOLDINGS OWNER 02/18/2021 0-1 HOURS PER MONTH 0-1 HOURS DURING TRADING HOURS MAKE PRIVATE INVESTMENTS NOLA Family LLC NOT INVESTMENT-RELATED WHITEFISH, MT RENTAL PROPERTY OWNER 3/6/2024 0-5 HOURS PER MONTH 0-5 HOURS DURING TRADING HOURS MANAGE RENTAL PROPERTY

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

BD
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

BD
CRD#: 13572
NEW ORLEANS, LA
Past

November 25, 1983 - July 19, 1985

FINANCIAL PLANNERS EQUITY CORPORATION

BD
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".
SF
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)

Exams

State Security Law Exam
RR
Series 63
Date: 6/25/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/27/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/24/1984
General Securities Principal Examination

Current Firm

SF
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)
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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
10

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025-10-20 STOKES FAMILY OFFICE FORM ADV PART 2A (10/20/2025)

Regulatory assets under management

Total Number of Accounts2,052
AUM (Assets Under Management)$ 2,475,148,256

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.

Company Information

STOKES FAMILY OFFICE LLC

CRD#: 300899New Orleans, LA 70163

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Contact information

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