Elmer Wayne Stokes
Professional Summary
Elmer Wayne Stokes was a registered financial advisor. Elmer was a previously registered financial professional and started their career in finance 1994 - 2012. Elmer had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
BARRY E. SWANSON, CFP | SWANSON, BARRY EARNEST | INTEGRATED FINANCIAL PLANNING SERVICES | IFPS
Contact Information
Main Address
Karlstrasse 20, Heidelberg 69117Mailing Address
Karlstrasse 20, Heidelberg 69117 69117Phone Number
011496221-23597Established
Nevada since 10/29/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
21SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
FINRA licenses (36 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
43AUM (Assets Under Management)
$4,050,716Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
BARRY E. SWANSON, CFP | SWANSON, BARRY EARNEST | INTEGRATED FINANCIAL PLANNING SERVICES | IFPS
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1994About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
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