Daniel J. Lauraine

DRAKE & ASSOCIATES

Grand Rapids, MI 49546

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CRD#: 2894516

Professional summary

Daniel J Lauraine, who also goes by Dan Lauraine, Daniel James Lauraine, is a registered financial advisor currently at DRAKE & ASSOCIATES, LLC located in Grand Rapids, Michigan.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Daniel has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Lauraine | Daniel James Lauraine

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.

BridgePoint Tax Consulting, LLC Not Investment Related 1192 E 8th Street, Holland, MI 49423 Tax Prep Services and Business Consulting Loft Financial Advisory Group, LLC; investment related: Yes; Location of the business: 20965 Crossroads Circle, Waukesha, WI 53186; Description of the business: Licensed insurance agent in the state of Wisconsin.; Position Title: Insurance Agent; Responsibilities Duties: Offer clients advice or insurance products.; Start date with business: 03/25/2019; Hours devoted to business during trading hours: 4; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 40. Managing Partner/Owner Started January 2024 0 hours during trading hours Tax preparation services during tax season for various customers. Consulting services for small business owners.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel J Lauraine'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 30, 2024 - Present

DRAKE & ASSOCIATES, LLC

Office #1: 4095 Embassy Drive Se, Grand Rapids, MI 49546

CRD#: 16999

CHICAGO, IL

Past

August 20, 1997 - April 16, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 20, 1997 - April 16, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DRAKE & ASSOCIATES, LLC

DRAKE & ASSOCIATES, LLC | DRAKE WEALTH MANAGEMENT, LLC | DRAKE INVESTMENTS, LLC

CRD#: 154854 / SEC#: 801-115301

RIA

Registered Investment Advisory firm - (5/16/2019 Approved)

Michigan

Registered Investment Advisory firm - (12/3/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/20/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (5/20/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(8/28/2024)

IAR

Wisconsin
(4/30/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/5/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 5/17/2019

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 5/6/2019

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/19/2010

General Securities Principal Examination

Current Firm

DRAKE & ASSOCIATES, LLC

DRAKE & ASSOCIATES, LLC | DRAKE WEALTH MANAGEMENT, LLC | DRAKE INVESTMENTS, LLC

CRD#: 154854 / SEC#: 801-115301

RIA

Registered Investment Advisory firm - (5/16/2019 Approved)

Michigan

Registered Investment Advisory firm - (12/3/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/20/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (5/20/2019 Terminated)

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Contact information

Main Address

20965 Crossroads Circle, Waukesha, WI 53186

Mailing Address

Phone number

(414) 409-7226

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DRAKE 2A BROCHURE (4/14/2025)

Regulatory assets under management

Total Number of Accounts	2,611
AUM (Assets Under Management)	$ 418,750,691

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.

Contact information

xxxxx@xxxx.xxx

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Daniel J. Lauraine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel J Lauraine's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

WADDELL & REED

WADDELL & REED

THE HUNTINGTON INVESTMENT COMPANY

THE HUNTINGTON INVESTMENT COMPANY

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

DRAKE & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/5/2010

Series 63

Date: 8/11/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1997

Series 9

Date: 5/17/2019

Series 10

Date: 5/6/2019

Series 24

Date: 7/19/2010

Current Firm

DRAKE & ASSOCIATES, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DRAKE & ASSOCIATES, LLC

TRUST BUT VERIFY

Contact information

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