Elise F. Drake

T.R. WINSTON & COMPANY

FRANCONIA, NH 03580

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CRD#: 1704554

Professional summary

Elise Frances Drake is a registered financial professional currently at T.R. WINSTON & COMPANY, LLC located in Franconia, New Hampshire.

Elise is registered as a RR (Registered Representative) and started their career in finance in 1987. Elise has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Elise Frances Drake's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 26, 1989 - Present

T.R. WINSTON & COMPANY, LLC

Office #1: 241 Main Street, Franconia, NH 03580

CRD#: 10571

FRANCONIA, NH

Past

July 21, 1987 - July 6, 1988

INGALLS & SNYDER, LLC

CRD#: 2288

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/30/1992)

Connecticut
(11/10/1995)

Georgia
(2/14/1992)

Maryland
(2/24/2017)

Massachusetts
(4/6/1992)

Nevada
(1/4/2005)

New Hampshire
(9/20/1991)

New Jersey
(5/1/1989)

North Carolina
(1/7/2020)

Pennsylvania
(1/11/2024)

Vermont
(8/21/2008)

Washington
(12/6/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/17/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/16/1994

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

T.R. WINSTON & COMPANY, LLC

T.R. WINSTON & COMPANY, INC. | T.R. WINSTON & COMPANY, LLC

CRD#: 10571 / SEC#: , 8-27519

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

376 Main Street, Bedminster, NJ 07921-2613

Mailing Address

P.o. Box 74 376 Main Street, Bedminster, NJ 07921

Phone number

(908) 234-0300

Established

Delaware since 08/18/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
RUNNELS, G TYLER	DIRECTOR, CHAIRMAN AND CEO	1415264
KANG, KAREN	EXECUTIVE VICE PRESIDENT AND ROSFP	4367718
CRISWELL, JEFFREY LENOX SR	VICE PRESIDENT, SECRETARY, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER	2121440
HEMEDES, STEPHEN NATHANIEL	MUNICIPAL PRINCIPAL AND HEAD TRADER	6870830
SANCIO, GALE ANN	ASSISTANT SECRETARY, ROSFP	1121258

Disclosures

Regulatory Event	5
Arbitration	5

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Elise F. Drake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Elise Frances Drake's CRS (Customer Relationship Summary).

Certified licenses

Experience

INGALLS & SNYDER, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/17/2017

Series 63

Date: 7/28/1987

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 24

Date: 11/16/1994

FINRA

Nasdaq Stock Market

Current Firm

T.R. WINSTON & COMPANY, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

T.R. WINSTON & COMPANY, LLC

TRUST BUT VERIFY

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