Christopher A. Stokes

USAA INVESTMENT SERVICES COMPANY

Phoenix, AZ 85085

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CRD#: 5037023

Professional summary

Christopher Andrew Stokes is a registered financial advisor currently at USAA INVESTMENT SERVICES COMPANY located in Phoenix, Arizona.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Christopher has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Nature of Business: Life Insurance Agent for USAA Life Insurance Company, an affiliate of the firm. Business Address: 9800 Fredericksburg Road, San Antonio, TX 78288 Title/Position: Life/Health agent Brief Description of Duties Performed: I am a licensed insurance agent of USAA Life Insurance Company (LifeCo), an affiliate of USAA Investment Services Company (ISCO), and perform duties for LifeCo which may include life insurance sales, annuity sales, and/or LifeCo management responsibilities in addition to my duties as a registered representative performed on behalf of ISCO. Dates Employed: 05/12/2008 TO PRESENT Amount of time you devote per week or per month: 38-40 hours per week Work During Trading Hours: Yes Investment related: Yes

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Andrew Stokes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Christopher Andrew 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

November 6, 2020 - Present

USAA INVESTMENT SERVICES COMPANY

Office #1: One Norterra Drive, Phoenix, AZ 85085

RIA

CRD#: 5475

Phoenix, AZ

Current

June 8, 2020 - Present

USAA INVESTMENT SERVICES COMPANY

Office #1: One Norterra Drive, Phoenix, AZ 85085

RIA

CRD#: 5475

Phoenix, AZ

Past

January 8, 2018 - July 30, 2020

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

June 11, 2008 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

May 16, 2008 - June 8, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

August 7, 2007 - April 9, 2008

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

PEORIA, AZ

Past

April 17, 2006 - July 6, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

SCOTTSDALE, AZ

Past

March 22, 2006 - April 11, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA

Registered Investment Advisory firm - SEC (8/3/2022 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/24/2022 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Alabama
(6/8/2020)

Alaska
(6/8/2020)

Arizona
(6/8/2020)

IAR

Arizona
(8/19/2022)

Arkansas
(6/8/2020)

California
(6/8/2020)

Colorado
(6/8/2020)

Connecticut
(6/8/2020)

Delaware
(6/8/2020)

District of Columbia
(6/8/2020)

Florida
(6/8/2020)

Georgia
(6/8/2020)

Hawaii
(6/8/2020)

Idaho
(6/8/2020)

Illinois
(6/8/2020)

Indiana
(6/8/2020)

Iowa
(6/8/2020)

Kansas
(6/8/2020)

Kentucky
(6/8/2020)

Louisiana
(6/8/2020)

Maine
(6/8/2020)

Maryland
(6/8/2020)

Massachusetts
(6/8/2020)

Michigan
(6/8/2020)

Minnesota
(6/8/2020)

Mississippi
(6/8/2020)

Missouri
(6/8/2020)

Montana
(6/8/2020)

Nebraska
(6/8/2020)

Nevada
(6/8/2020)

New Hampshire
(6/8/2020)

New Jersey
(6/8/2020)

New Mexico
(6/8/2020)

New York
(6/8/2020)

North Carolina
(6/8/2020)

North Dakota
(6/8/2020)

Ohio
(6/8/2020)

Oklahoma
(6/8/2020)

Oregon
(6/8/2020)

Pennsylvania
(6/8/2020)

Puerto Rico
(6/8/2020)

Rhode Island
(6/8/2020)

South Carolina
(6/8/2020)

South Dakota
(6/8/2020)

Tennessee
(6/8/2020)

Texas
(6/8/2020)

IAR

Texas
(11/6/2020)

Utah
(6/8/2020)

Vermont
(6/8/2020)

Virgin Islands
(6/8/2020)

Virginia
(6/8/2020)

Washington
(6/8/2020)

West Virginia
(6/8/2020)

Wisconsin
(6/8/2020)

Wyoming
(6/8/2020)

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 66

Date: 5/27/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA

Registered Investment Advisory firm - SEC (8/3/2022 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/24/2022 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Mailing Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Phone number

(800) 531-7960

Established

Delaware since 09/01/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

152

SEC notice filing (51 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

ISCO PART2A INVESTMENT SERVICES BROCHURE MAY 2025 (5/29/2025)

ISCO FOMR ADV PART 2B BROCHURE SUPPLEMENT MARCH 2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
USAA INVESTMENT CORPORATION (PARENT CO.)	SHAREHOLDER
BEALL, KEVIN DOUGLAS	VICE PRESIDENT, DIRECTOR	4202452
CARTER, BRANDON DANE	DIRECTOR, CHAIRMAN OF THE BOARD	2939393
ECK, FRANK THOMAS IV	SECRETARY	7979835
FLORES, JENNIFER MARGRET	FINOP AND PRINCIPAL FINANCIAL OFFICER	4175069
HANKS, KARE ELIZABETH	DIRECTOR, VICE PRESIDENT	2883762
MUIR, JAMES DYER	CHIEF COMPLIANCE OFFICER	2801996
PEREZ-ROSSELLO, MADELINE IVETTE	ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER	4033239
STORK, MARY ELIZABETH	DIRECTOR	2960253
WHITE, WILLIAM SWEENEY	PRESIDENT, VICE-CHAIRMAN, DIRECTOR	4843743

Disclosures

Regulatory Event	1
Arbitration	4

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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Christopher A. Stokes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Andrew Stokes's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Christopher Andrew Stokes's CRS (Customer Relationship Summary).

Certified licenses

Experience

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

COUNTRY CAPITAL MANAGEMENT COMPANY

EQUITABLE ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

USAA INVESTMENT SERVICES COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 5/27/2008

SIE

Date: 10/1/2018

Series 7

Date: 3/21/2006

FINRA

Current Firm

USAA INVESTMENT SERVICES COMPANY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

USAA INVESTMENT SERVICES COMPANY

TRUST BUT VERIFY

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