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 Francis Drake III, who also goes by Jeff Drake III, Jeff Drake, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 10 firms and has passed the Series 63, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2019 - April 25, 2022
PEAK BROKERAGE SERVICES, LLC
May 29, 2014 - September 19, 2019
OSAIC FS, INC.
March 29, 2011 - June 18, 2014
WOODBURY FINANCIAL SERVICES, INC.
March 29, 2010 - March 30, 2011
CAPE SECURITIES INC.
August 26, 2008 - April 1, 2010
CAPITAL INVESTMENT GROUP, INC.
December 5, 2006 - August 28, 2008
LPL FINANCIAL LLC
March 25, 2002 - December 7, 2006
SECURITIES AMERICA, INC.
November 21, 1998 - April 24, 2002
METROPOLITAN LIFE INSURANCE COMPANY
November 21, 1998 - April 24, 2002
MSI FINANCIAL SERVICES, INC.
April 3, 1989 - November 13, 1998
NYLIFE SECURITIES LLC
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
PEAK BROKERAGE SERVICES, LLC
CRD#: 157045 / SEC#: , 8-68829
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK REPS, LLC | OWNER | |
| COKER, KAREN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PHILLIPS, DAVID LEVERT | CHIEF INFORMATION SECURITY OFFICER | 2054858 |
| REYNOLDS, MATTHEW MARK | PRESIDENT/FINOP | 4077413 |
| RUDNICK, REGINA MARY | PRESIDENT/HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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