William 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.
William Francis Drake III was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2018 - December 31, 2020
PRAM
June 8, 2016 - June 8, 2023
GLOBAL OAK CAPITAL MARKETS LLC
June 2, 2016 - January 4, 2019
INTEGRATED ADVISORS NETWORK LLC
November 7, 2007 - February 5, 2016
AMB WEALTH, LLC
April 27, 2007 - February 5, 2016
ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC
August 16, 2004 - April 20, 2007
JAW TRADING, LLC
August 10, 1994 - March 23, 2004
SCHONFELD SECURITIES, LLC
January 1, 1994 - July 20, 1994
CETERA INVESTMENT SERVICES LLC
September 11, 1991 - December 3, 1993
THE HUNTINGTON INVESTMENT COMPANY
January 21, 1987 - September 11, 1991
ADVEST, INC.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 3/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
PRAM
CRD#: 292783 / SEC#:
Contact information
Red Flags
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