Willie P. Stokes

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES

Huntersville, NC

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CRD#: 2777513

Professional summary

Willie Preston Stokes, who also goes by Willie Preston Stokes, Willie P Stokes, Willie Stokes, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Huntersville, North Carolina.

Willie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Willie has worked at 14 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Willie Preston Stokes | Willie P Stokes | Willie 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 Willie Preston Stokes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Willie Preston 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®

None

Experience

Current

September 21, 2021 - Present

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Office #2: 8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262

RIA

CRD#: 20472

Huntersville, NC

Current

September 21, 2021 - Present

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Office #1: 8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262

RIA

CRD#: 20472

Charlotte, NC

Past

December 19, 2019 - August 26, 2021

INNOVATION PARTNERS LLC

CRD#: 146344

Charlotte, NC

Past

March 25, 2017 - June 4, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

CHARLOTTE, NC

Past

July 30, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CHARLOTTE, NC

Past

March 3, 2011 - May 24, 2011

ALIGHT FINANCIAL SOLUTIONS, LLC

RIA

CRD#: 36509

CHARLOTTE, NC

Past

March 3, 2011 - July 28, 2014

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509

CHARLOTTE, NC

Past

December 15, 2008 - January 21, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

April 3, 2008 - January 21, 2010

LPL FINANCIAL LLC

CRD#: 6413

CHARLOTTE, NC

Past

November 13, 2006 - February 5, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

June 30, 2005 - November 1, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

June 1, 1998 - May 25, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

December 11, 1997 - June 4, 1998

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

June 12, 1997 - August 4, 1997

TAYLOR STUART FINANCIAL, INC.

CRD#: 39025

GREAT NECK, NY

Past

April 25, 1997 - June 4, 1997

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

March 3, 1997 - March 25, 1997

ALDEN CAPITAL MARKETS, INC.

CRD#: 25314

NEW YORK, NY

Past

January 14, 1997 - March 27, 1997

AMERICORP SECURITIES, INC.

CRD#: 30405

NEW YORK, NY

Past

December 13, 1996 - January 14, 1997

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

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".

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(9/21/2021)

IAR

North Carolina
(9/21/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/14/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/12/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/20/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/8/2019

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/7/2018

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472 / SEC#: 801-63550, 8-44454

RIA

Registered Investment Advisory firm - SEC (9/24/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

730 Third Avenue, New York, NY 10017-3206

Mailing Address

8500 Andrew Carnegie Boulevard Mail Stop Ssc/c2/08, Charlotte, NC 28262-8500

Phone number

(704) 988-3565

Established

Delaware since 01/01/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,319

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVICE & PLANNING SERVICES PORTFOLIO ADVISOR WRAP FEE PROGRAM - OCTOBER 20, 2025 (10/16/2025)

ADVICE & PLANNING SERVICES PRIVATE ASSET MANAGEMENT PROGRAM - AUGUST 26, 2025 (8/26/2025)

ADVICE & PLANNING SERVICES TIAA PERSONAL PORTFOLIO WRAP FEE PROGRAM - MARCH 28, 2025 (3/26/2025)

TC SERVICES ADVICE & PLANNING SERVICES DISCLOSURE BROCHURE - MARCH 28, 2025 (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA	SOLE OWNER OF APPLICANT
ABBOTT, ROSS HAMLET	PRESIDENT, CEO (INTERIM), CHIEF OPERATING OFFICER, ELECTED MANAGER	2756063
BARNHILL, HELEN GWYN	CHIEF LEGAL OFFICER	2574877
BELLUCCI, RAYMOND JOHN	ELECTED MANAGER	1807977
HEASLIP, DEREK JAMES	ELECTED MANAGER	6318596
INTIHAR, JEREMY ROSS	CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER	5040823
LEWIS, BENJAMIN HERBERT	ELECTED MANAGER	1687894
MANGANO, JENNIFER LYNN	CHIEF FINANCIAL OFFICER	7659359
MUKHERJEE, NILADRI	ELECTED MANAGER	5227234
SARAVANAN, SHANKAR	VICE PRESIDENT, ELECTED MANAGER	7789140
STICKROD, CHRISTOPHER EUGENE	ELECTED MANAGER	4627958
WEINSTEIN, SCOTT WILLIAM	CHIEF COMPLIANCE OFFICER - BROKER DEALER	4324014

Regulatory assets under management

Total Number of Accounts	72,807
AUM (Assets Under Management)	$ 34,343,329,152

Disclosures

Regulatory Event	8
Arbitration	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
12/13/2023	Cover Page	Report
03/21/2023	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.

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Advisor Monitoring

Firm Stability Insights

Willie P. Stokes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Willie Preston Stokes's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Willie Preston Stokes's CRS (Customer Relationship Summary).

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

INNOVATION PARTNERS LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

ALIGHT FINANCIAL SOLUTIONS, LLC

ALIGHT FINANCIAL SOLUTIONS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CHASE INVESTMENT SERVICES CORP.

TD AMERITRADE, INC.

BNY MELLON SECURITIES CORPORATION

TAYLOR STUART FINANCIAL, INC.

INVESTORS ASSOCIATES, INC.

ALDEN CAPITAL MARKETS, INC.

AMERICORP SECURITIES, INC.

ROYCE INVESTMENT GROUP, INC.

Primary Firm SEC Registration

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/2021

Series 66

Date: 12/12/2008

Series 63

Date: 12/20/1996

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/12/1996

Series 53

Date: 4/8/2019

Series 4

Date: 6/7/2018

Series 24

Date: 12/14/2017

FINRA

Current Firm

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

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