John G. 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.
John G Drake, who also goes by John George Drake, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, 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
January 12, 2016 - August 30, 2016
MONEY CONCEPTS CAPITAL CORP
January 12, 2016 - August 30, 2016
MONEY CONCEPTS CAPITAL CORP
March 10, 2014 - January 2, 2015
LPL FINANCIAL LLC
March 10, 2014 - January 2, 2015
LPL FINANCIAL LLC
September 28, 2011 - December 12, 2013
USAA FINANCIAL PLANNING SERVICES
September 28, 2011 - December 12, 2013
USAA FINANCIAL ADVISORS, INC.
April 4, 2011 - September 14, 2011
HARRISDIRECT LLC
April 4, 2011 - September 14, 2011
E*TRADE SECURITIES LLC
July 12, 2010 - March 21, 2011
CHASE INVESTMENT SERVICES CORP.
July 12, 2010 - March 21, 2011
CHASE INVESTMENT SERVICES CORP.
June 1, 2009 - September 16, 2009
MORGAN STANLEY
June 1, 2009 - September 16, 2009
MORGAN STANLEY
June 27, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 27, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 18, 2005 - February 28, 2006
FIFTH THIRD SECURITIES, INC.
October 23, 2002 - February 28, 2006
FIFTH THIRD SECURITIES, INC.
January 10, 2000 - September 23, 2002
CITICORP INVESTMENT SERVICES
March 29, 1999 - November 16, 1999
WELLS FARGO CLEARING SERVICES, LLC
August 10, 1994 - May 24, 1995
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
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
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
