Friday, October 23, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB Schwab trumpeted Anthropic's Claude for all 16,000 of its RIAs, but a 20-seat enterprise minimum suddenly sidelines 11,000-plus small firms -- right before IMPACT 2026FP Do smaller RIAs really need to own their data?RB Bank of America analyst 'double' slams Ameriprise not least because RIA 'structural' advantage triggered proactive in-house retention bonuses that take a bite out of margins and may not retain big teams long-termIN Trump to ease 50% Canada tariffs on farm equipment, packaging goodsWM The New Rules of Record Keeper SelectionWM SEC Examiners' 2027 Focus Includes Firms' Protections Against AI Phishing, DeepfakesIN People moves: RBC taps Raymond James veteran for Texas complexWM Lido CEO Signals Openness to International Expansion4K SEC Targets Private Markets, AI and Fiduciary Risks Among 2027 Exam PrioritiesIN RIA M&A runs up to 5x reported totals, Steward Partners CEO says

Financial ADVSR advisor directory · SEC adviser records

Financial advisors in Stockton, CA

Every SEC-registered investment adviser representative at a firm office in Stockton, with the firms that employ the most of them.

113 registered advisors work in Stockton; the most are at Merrill Lynch, Pierce, Fenner & Smith Incorporated (19). 18 list the CFP designation and 88 are also registered broker representatives.

Firms with the most advisors in Stockton

FirmAdvisors in Stockton
Merrill Lynch, Pierce, Fenner & Smith Incorporated news19
LPL Financial LLC news13
Wells Fargo Clearing Services, LLC news9
Morgan Stanley news8
Coppell Advisory Solutions LLC5
Stifel, Nicolaus & Company, Incorporated news5
Transamerica Financial Advisors, LLC5
Ameriprise Financial Services, LLC news4
Charles Schwab & Co., Inc. news4
Cetera Investment Advisers LLC news3
Dkm Wealth Management, Inc.3
State Farm Investment Management Corp.3
Edward Jones news2
Findec Wealth Services, Inc.2
PNC Wealth Management LLC2
Rsg Financial Group Inc.2
The Salvetti Group2
Allstate Financial Advisors, LLC1
Attentive Investments, LLC1
Bfc Planning, Inc.1
Boddington Capital, LLC1
Dotch Capital1
Eagle Strategies LLC1
Encompass More Asset Management LLC1
Equitable Advisors, LLC news1

Advisors in Stockton, A to Z

CFP advisors in Stockton →

Other cities in California

All of California →

San Diego 3,490San Francisco 3,219Los Angeles 3,218Newport Beach 1,783Irvine 1,659Pasadena 1,109Walnut Creek 1,049San Jose 897Beverly Hills 656Roseville 611Westlake Village 597Sacramento 588Palo Alto 500Torrance 471La Jolla 463Carlsbad 429Menlo Park 428Santa Barbara 422El Segundo 421Fresno 413San Rafael 394San Mateo 354Woodland Hills 343Long Beach 335

Questions

How many financial advisors are in Stockton, CA?

113 investment adviser representatives are registered at firm offices in Stockton, California, according to the SEC's Investment Adviser Public Disclosure records. 88 of them are also registered as broker representatives, and 18 list the CFP designation.

Which firm has the most financial advisors in Stockton?

Merrill Lynch, Pierce, Fenner & Smith Incorporated, with 19 registered advisors in Stockton, followed by LPL Financial LLC with 13.

How do I check a financial advisor in Stockton?

Each advisor below links to a profile with their firm, registrations, exams and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the firm office they're registered at; an advisor registered at offices in more than one city appears in each. Broker-only representatives (FINRA BrokerCheck) aren't included. Moving firms? See who's moving this week, compare payouts by firm or value a recruiting offer.