Willie P. Stokes
Professional summary
Willie Preston Stokes, who also goes by Willie Preston Stokes, Willie P Stokes, Willie Stokes, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Charlotte, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Charlotte, 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 16 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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Willie Preston Stokes's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2026 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 214 North Tryon Street, Charlotte, NC 28202January 12, 2026 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 214 N Tryon St Fl 21 32, Charlotte, NC, 28202September 21, 2021 - January 2, 2026
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 21, 2021 - January 2, 2026
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 19, 2019 - August 26, 2021
INNOVATION PARTNERS LLC
March 25, 2017 - June 4, 2019
MML INVESTORS SERVICES, LLC
July 30, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 3, 2011 - May 24, 2011
ALIGHT FINANCIAL SOLUTIONS, LLC
March 3, 2011 - July 28, 2014
ALIGHT FINANCIAL SOLUTIONS, LLC
December 15, 2008 - January 21, 2010
LPL FINANCIAL LLC
April 3, 2008 - January 21, 2010
LPL FINANCIAL LLC
November 13, 2006 - February 5, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 30, 2005 - November 1, 2005
CHASE INVESTMENT SERVICES CORP.
June 1, 1998 - May 25, 2005
TD AMERITRADE, INC.
December 11, 1997 - June 4, 1998
BNY MELLON SECURITIES CORPORATION
June 12, 1997 - August 4, 1997
TAYLOR STUART FINANCIAL, INC.
April 25, 1997 - June 4, 1997
INVESTORS ASSOCIATES, INC.
March 3, 1997 - March 25, 1997
ALDEN CAPITAL MARKETS, INC.
January 14, 1997 - March 27, 1997
AMERICORP SECURITIES, INC.
December 13, 1996 - January 14, 1997
ROYCE INVESTMENT GROUP, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/12/2026)
(1/12/2026)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
