Individual Firm
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BRIAN FORREST STOKES
CRD#: 1060238
IA
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EMERSON EQUITY LLCCRD#: 130032 San Diego, CA
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2/6/2009
Employment Separation After Allegations
State Registrations
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Arizona 8/18/2022
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Massachusetts 10/13/2022
B
California 8/18/2022
B
Michigan 8/18/2022
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California 8/19/2022
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Nevada 8/18/2022
B
Colorado 8/18/2022
B
North Carolina 1/31/2024
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Connecticut 8/26/2022
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Ohio 12/12/2024
B
Florida 9/6/2022
B
Utah 8/18/2022
B
Idaho 2/8/2023
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Washington 2/22/2023
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Kentucky 12/17/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/10/2009 - 08/23/2022 | SAN DIEGO, CA | |
B | 02/10/2009 - 08/23/2022 | SAN DIEGO, CA | |
IA | 05/20/1998 - 04/07/2009 | SAN DIEGO, CA | |
B | 04/29/1992 - 04/07/2009 | SAN DIEGO, CA | |
B | 09/04/1990 - 05/15/1992 | ST. LOUIS, MO | |
B | 04/24/1989 - 09/04/1990 | ||
B | 06/25/1986 - 06/06/1989 | ||
B | 08/30/1982 - 07/01/1986 |
For additional information about investment advisers or broker-dealers, please visit
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.