Dale M. 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.
Dale Martin Stokes, who also goes by Dale M Stokes, Dale Martin Stokes, was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1992. Dale had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2023 - May 14, 2026
LPL FINANCIAL LLC
August 20, 2021 - February 9, 2023
WELLS FARGO CLEARING SERVICES, LLC
March 31, 2020 - November 23, 2020
M. S. HOWELLS & CO.
November 4, 2016 - April 15, 2020
WOODBURY FINANCIAL SERVICES, INC.
November 4, 2016 - April 15, 2020
OSAIC WEALTH, INC.
November 4, 2016 - April 15, 2020
FSC SECURITIES CORPORATION
April 2, 2015 - April 14, 2020
OSAIC SERVICES, INC.
May 9, 2003 - January 27, 2015
CHARLES SCHWAB & CO., INC.
February 28, 2002 - September 18, 2002
RUMSON CAPITAL, LLC
November 17, 2000 - February 27, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 9, 1999 - November 17, 2000
APEX CLEARING CORPORATION
July 23, 1997 - March 24, 1999
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 23, 1994 - July 14, 1997
CITICORP INVESTMENT SERVICES
October 19, 1992 - March 1, 1994
FLEET BROKERAGE SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 55
Date: 9/25/1999
Limited Representative-Equity Trader ExamCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
