James F. Drake
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Franklin Drake was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2020 - June 11, 2026
COMMONWEALTH RETIREMENT INVESTMENTS LLC
January 27, 2017 - December 31, 2019
COMMONWEALTH RETIREMENT INVESTMENTS LLC
August 17, 1994 - January 24, 2017
OSAIC FA, INC.
March 23, 1983 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
March 23, 1983 - May 25, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 23, 1983 - January 24, 2017
OSAIC FA, INC.
Primary Firm SEC Registration
COMMONWEALTH RETIREMENT INVESTMENTS LLC
CRD#: 285998 / SEC#: 801-108783
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COMMONWEALTH RETIREMENT INVESTMENTS LLC
CRD#: 285998 / SEC#: 801-108783
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,001 |
| AUM (Assets Under Management) | $ 377,033,190 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
