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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

WILLIAM CARR STOKES

Advisor at FROST INVESTMENT SERVICES

SAN ANTONIO, TX | KERRVILLE, TX

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Search this name across graphsid dfx:ria:a2a4bded-31a7-550a-adfc-1f4b40f63888

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 9, 2004 to Sep 15, 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: FROST INVESTMENT SERVICES
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: Nov 23, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S66
First exam: Nov 23, 2004
First registration: Dec 9, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4856866

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
FROST INVESTMENT SERVICES	Bd affiliated wealth	Jun 2, 2026	n/a	yes	SAN ANTONIO, TX\|KERRVILLE, TX	Current employment
HILLTOP SECURITIES INC.	Bd affiliated wealth	Dec 1, 2021	Jun 1, 2026	no	DALLAS, TX\|Boerne, TX	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Apr 8, 2020	Dec 2, 2021	no	BOERNE, TX	Previous registration
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Aug 12, 2009	Sep 17, 2019	no	SAN ANTONIO, TX\|BOERNE, TX	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Dec 9, 2004	Nov 11, 2005	no	KERRVILLE, TX	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
HILLTOP SECURITIES INC.	FROST INVESTMENT SERVICES	Jun 1, 2026	Jun 2, 2026	1	Firm change	Ibd to ibd
B. RILEY WEALTH ADVISORS, INC.	HILLTOP SECURITIES INC.	Dec 2, 2021	Dec 1, 2021	-1	Firm change	Ibd to ibd
ADVISORS ASSET MANAGEMENT, INC.	B. RILEY WEALTH ADVISORS, INC.	Sep 17, 2019	Apr 8, 2020	204	Firm change	RIA to ibd
A. G. EDWARDS & SONS, INC.	ADVISORS ASSET MANAGEMENT, INC.	Nov 11, 2005	Aug 12, 2009	1,370	Firm change after gap	Other

Relationships

Registered with (5)

→ FROST INVESTMENT SERVICESRegistered adviserregistration: current employment
Jun 2, 2026 to presentfactForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Dec 1, 2021 to Jun 1, 2026factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Apr 8, 2020 to Dec 2, 2021factForm ADV
→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Aug 12, 2009 to Sep 17, 2019factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Dec 9, 2004 to Nov 11, 2005factForm ADV

Dated events

Occurred
Jun 1, 2026
Advisor changed firm
William Carr Stokes left Hilltop Securities Inc. for Frost Investment Services (registered 2026-06-02)
Form ADVobserved 6 days ago