Gregory W. 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.
Gregory Wayne Drake, who also goes by Gregory W Drake, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1993. Gregory had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2004 - November 4, 2008
GUGGENHEIM INVESTMENTS
July 8, 2003 - July 1, 2004
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
April 19, 2002 - April 20, 2012
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
June 8, 1993 - April 3, 2002
NUVEEN SECURITIES, LLC
Primary Firm SEC Registration
GUGGENHEIM INVESTMENTS
CRD#: 129288 / SEC#: 801-62515
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
GUGGENHEIM INVESTMENTS
CRD#: 129288 / SEC#: 801-62515
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 3,723,432,251 |
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.
