RD
Richard Drew
CRD#: 3136263
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RD
Richard Drew
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.
Richard Drew, CFP®, CIMA®, who also goes by Richard Hakim Drew, Rick Drew, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Hakim Drew | Rick Drew
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2021
Experience
Past
November 13, 2024 - June 22, 2026
SUMMIT FINANCIAL, LLC
RIA
CRD#: 299322
CHARLOTTE, NC
Past
March 6, 2018 - September 22, 2024
SEDNA WEALTH MANAGEMENT, LLC
RIA
CRD#: 293431
WAXHAW, NC
Past
February 23, 2010 - October 10, 2017
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
BOSTON, MA
Past
February 23, 2010 - October 10, 2017
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
CHARLOTTE, NC
Past
October 16, 2009 - December 31, 2009
EVERGREEN INVESTMENT MANAGEMENT CO
RIA
CRD#: 104594
BOSTON, MA
Past
March 4, 2004 - December 31, 2009
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
Past
October 1, 2000 - March 3, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 27, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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".
SUMMIT FINANCIAL, LLC
ADVOCUS PRIVATE WEALTH | WEINERMAN WEALTH MANAGEMENT | WEALTHPLAN ADVANTAGE | VARDHAN WEALTH MANAGEMENT | THE PRIVATE CLIENT GROUP | THE JASKOL GROUP | THE EXECUTIVE WEALTH GROUP | TANISTRY WEALTH MANAGEMENT | SUMMIT FINANCIAL, LLC | SRM PRIVATE WEALTH | SOUTHEAST FINANCIAL GROUP | SILVERTREE, LLC | SIGNET FINANCIAL MANAGEMENT, LLC | SENTINEL WEALTH PARTNERS | SALVO WEALTH GROUP | REX GLOBAL WEALTH MANAGEMENT | RETHINKWEALTH | RADIANCE PRIVATE WEALTH | PHILLIPS FINANCIAL STRATEGIES | PARSONS BROACH FINANCIAL SERVICES | PANOPTIC WEALTH ADVOCATES | ORACLE PRIVATE WEALTH ADVISORS | NOLAN WEALTH MANAGEMENT | NATIONAL WEALTH ADVISORS, INC. | NASHVILLE PRIVATE WEALTH MANAGEMENT | MRK WEALTH ADVISORS | MIDWAY WEALTH PARTNERS | MEEDER WEALTH MANAGEMENT | M GROUP | LPWM GROUP | LPF FINANCIAL ADVISORS | LIFETIME WEALTH MANAGEMENT, LLC | LEROY WEALTH MANAGEMENT GROUP | LANDSDOWNE PRIVATE WEALTH MANAGEMENT | KYROS PRIVATE WEALTH | IVY WEALTH MANAGEMENT | IVY WEALTH ADVISORS | HERITAGE WEALTH PARTNERS | GREAT LAKES PRIVATE WEALTH | GRANDVIEW SQUARE FINANCIAL | GORDON ASSET MANAGEMENT, LLC | GLOBAL FINANCIAL PARTNERS, LLC | GENEX CONSULTING | GATEWAY ADVISORY, LLC | GARRETT, PERKINS & HORTON ADVISORY PARTNERS | EVEREST CONSULTANTS, LLC | ESSEX WEALTH MANAGEMENT | DULWORTH JASKOL | DOUGLAS ROYCE ADVISORY GROUP, LLC | CROW FINANCIAL ADVISORS | CONWAY WEALTH | CLU WEALTH ADVISORS LLC | CLARITY CAPITAL PARTNERS | CANON CAPITAL WEALTH MANAGEMENT | BRAD WERNER & COMPANY | BOCA RATON PRIVATE WEALTH MANAGEMENT | BFG WEALTH | ARMSTRONG ADVISORS | ARGOSY WEALTH MANAGEMENT LLC
CRD#: 299322 / SEC#: 801-114377
RIA
Registered Investment Advisory firm - (12/3/2018 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SUMMIT FINANCIAL, LLC
ADVOCUS PRIVATE WEALTH | WEINERMAN WEALTH MANAGEMENT | WEALTHPLAN ADVANTAGE | VARDHAN WEALTH MANAGEMENT | THE PRIVATE CLIENT GROUP | THE JASKOL GROUP | THE EXECUTIVE WEALTH GROUP | TANISTRY WEALTH MANAGEMENT | SUMMIT FINANCIAL, LLC | SRM PRIVATE WEALTH | SOUTHEAST FINANCIAL GROUP | SILVERTREE, LLC | SIGNET FINANCIAL MANAGEMENT, LLC | SENTINEL WEALTH PARTNERS | SALVO WEALTH GROUP | REX GLOBAL WEALTH MANAGEMENT | RETHINKWEALTH | RADIANCE PRIVATE WEALTH | PHILLIPS FINANCIAL STRATEGIES | PARSONS BROACH FINANCIAL SERVICES | PANOPTIC WEALTH ADVOCATES | ORACLE PRIVATE WEALTH ADVISORS | NOLAN WEALTH MANAGEMENT | NATIONAL WEALTH ADVISORS, INC. | NASHVILLE PRIVATE WEALTH MANAGEMENT | MRK WEALTH ADVISORS | MIDWAY WEALTH PARTNERS | MEEDER WEALTH MANAGEMENT | M GROUP | LPWM GROUP | LPF FINANCIAL ADVISORS | LIFETIME WEALTH MANAGEMENT, LLC | LEROY WEALTH MANAGEMENT GROUP | LANDSDOWNE PRIVATE WEALTH MANAGEMENT | KYROS PRIVATE WEALTH | IVY WEALTH MANAGEMENT | IVY WEALTH ADVISORS | HERITAGE WEALTH PARTNERS | GREAT LAKES PRIVATE WEALTH | GRANDVIEW SQUARE FINANCIAL | GORDON ASSET MANAGEMENT, LLC | GLOBAL FINANCIAL PARTNERS, LLC | GENEX CONSULTING | GATEWAY ADVISORY, LLC | GARRETT, PERKINS & HORTON ADVISORY PARTNERS | EVEREST CONSULTANTS, LLC | ESSEX WEALTH MANAGEMENT | DULWORTH JASKOL | DOUGLAS ROYCE ADVISORY GROUP, LLC | CROW FINANCIAL ADVISORS | CONWAY WEALTH | CLU WEALTH ADVISORS LLC | CLARITY CAPITAL PARTNERS | CANON CAPITAL WEALTH MANAGEMENT | BRAD WERNER & COMPANY | BOCA RATON PRIVATE WEALTH MANAGEMENT | BFG WEALTH | ARMSTRONG ADVISORS | ARGOSY WEALTH MANAGEMENT LLC
CRD#: 299322 / SEC#: 801-114377
RIA
Registered Investment Advisory firm - (12/3/2018 Approved)Loading...
Contact information
Main Address
4 Campus Drive, Parsippany, NJ 07054
Mailing Address
Phone number
(973) 285-3600
Established
Firm type
Fiscal year end
# of Employees
490
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 36,236 |
| AUM (Assets Under Management) | $ 22,470,472,144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | ||
| 10/25/2024 | ||
| 12/28/2023 |
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.
