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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

RICHARD LAWRENCE STOKES

Advisor at MORGAN STANLEY

Alpharetta, GA

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Search this name across graphsid dfx:ria:a10ad6a9-d859-77da-9f2d-8cafb65341ee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 4, 2010 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: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 19, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 19, 2008
First registration: Jan 4, 2010
Dual registered: yes, broker-dealer
Other names: RICHARD LAWRENCE STOKES|RICHARD LAWRENCE STOKES
IAPD individual key: 5466412

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
MORGAN STANLEY	Wirehouse	Sep 5, 2023	n/a	yes	Alpharetta, GA	Current employment
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Aug 17, 2016	Sep 5, 2023	no	Alpharetta, GA\|ARLINGTON, VA\|Alpharetta, GA\|Alpharetta, GA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 15, 2013	Aug 22, 2016	no	ALPHARETTA, GA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 15, 2013	Aug 22, 2016	no	Alpharetta, GA	Previous registration
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jan 4, 2010	Apr 4, 2013	no	ATLANTA, GA	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
E*TRADE CAPITAL MANAGEMENT, LLC	MORGAN STANLEY	Sep 5, 2023	Sep 5, 2023	0	Bulk transfer	RIA to wirehouse
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Aug 22, 2016	Apr 15, 2013	-1,225	Channel change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Aug 22, 2016	Apr 15, 2013	-1,225	Firm change after gap	Other
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	TD AMERITRADE, INC.	Apr 4, 2013	Apr 15, 2013	11	Firm change	Other

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Sep 5, 2023 to presentfactForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 17, 2016 to Sep 5, 2023factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 15, 2013 to Aug 22, 2016factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 15, 2013 to Aug 22, 2016factForm ADV
→ J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 4, 2010 to Apr 4, 2013factForm ADV

Dated events

No dated event names this entity yet.