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Brian Forrest Stokes

Investment Adviser Representative at EMERSON EQUITY LLC

San Diego, CACRD #1060238Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
44 yrs
States Registered
14 states
Exams Passed
9

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Brian Forrest Stokes has worked in the securities industry since 1982. They are registered to provide investment advisory services in 14 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 14 states
ArizonaCaliforniaColoradoConnecticutFloridaIdahoKentuckyMassachusettsMichiganNevadaNorth CarolinaOhioUtahWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 7/1/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 10/4/1982
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 11/5/1986
Series 7
General Securities Representative Examination
Passed 8/21/1982
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 24
General Securities Principal Examination
Passed 7/6/1993
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 7/26/1989

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.025
Source

Emerson Equity LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

EMERSON EQUITY LLCCurrent
8/19/2022San Diego, CA
EMERSON EQUITY LLCCurrent
8/18/2022San Diego, CA
INDEPENDENT FINANCIAL GROUP, LLC
2/10/20098/23/2022San Diego, CA
LPL FINANCIAL CORPORATION
5/20/19984/7/2009San Diego, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brian Forrest Stokes has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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