DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

ROBERT BYRON STOKES

Advisor at LPL FINANCIAL LLC

MEMPHIS, TN | Memphis, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:298bbc28-87d6-4a65-773a-a06751657404

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 21, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 3, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Sep 3, 1999
First registration: Oct 21, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 3263124

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 13, 2025	n/a	yes	Memphis, TN\|MEMPHIS, TN	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Aug 23, 2022	Oct 23, 2025	no	Memphis, TN\|Memphis, TN	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Apr 28, 2009	Dec 31, 2022	no	Memphis, TN\|Memphis, TN\|Memphis, TN\|Nashville, TN\|Memphis, TN	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 10, 2004	May 13, 2009	no	MEMPHIS, TN\|MEMPHIS, TN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Jun 21, 2004	no	MEMPHIS, TN	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Oct 21, 1999	Jul 1, 2003	no	MEMPHIS, TN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B. RILEY WEALTH ADVISORS, INC.	LPL FINANCIAL LLC	Oct 23, 2025	Oct 13, 2025	-10	Firm change	Ibd to ibd
B RILEY WEALTH MANAGEMENT	B. RILEY WEALTH ADVISORS, INC.	Dec 31, 2022	Aug 23, 2022	-130	Bulk transfer	Ibd to ibd
UBS FINANCIAL SERVICES INC.	B RILEY WEALTH MANAGEMENT	May 13, 2009	Apr 28, 2009	-15	Firm change	Other
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Jun 21, 2004	Jun 10, 2004	-11	Firm change	Wirehouse to wirehouse
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 13, 2025 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Aug 23, 2022 to Oct 23, 2025factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Apr 28, 2009 to Dec 31, 2022factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 10, 2004 to May 13, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Jun 21, 2004factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Oct 21, 1999 to Jul 1, 2003factForm ADV

Dated events

Occurred
Oct 23, 2025
Advisor changed firm
Robert Byron Stokes left B. Riley Wealth Advisors, Inc. for Lpl Financial Llc (registered 2025-10-13)
Form ADVobserved 6 days ago