Thomas A. Drake

INTEGRITAS SEMPER

Windsor, CA

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CRD#: 3154324

Professional summary

Thomas Anthony Drake, who also goes by Tom Drake, is a registered financial advisor currently at INTEGRITAS SEMPER, LLC located in Windsor, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Thomas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Drake

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.

THOMAS DRAKE POSITION: Insurance agent NATURE: Insurance Sales (Investment-Related OBA) INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2010 ADDRESS: 578 Leafhaven Lane, Windsor CA 95492, United States DESCRIPTION: Market Insurance products THOMAS AND MARJORIE DRAKE POSITION: Owner NATURE: Other OBA INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 11/23/2018 ADDRESS: 578 Leafhaven Lane Windsor, Windsor CA 95492, United States DESCRIPTION: Home rental. Collect rent and check with lessor monthly and as needed.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Drake's 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

January 5, 2010 - Present

INTEGRITAS SEMPER, LLC

RIA

CRD#: 152008

Windsor, CA

Past

May 16, 2008 - February 24, 2010

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

Windsor, CA

Past

June 1, 2007 - December 5, 2023

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

Windsor, CA

Past

February 18, 2003 - June 5, 2007

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

WINDSOR, CA

Past

February 13, 2003 - June 5, 2007

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CA

Past

September 4, 2001 - January 22, 2003

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

SACRAMENTO, CA

Past

May 24, 1999 - January 22, 2003

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

December 7, 1998 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

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

California
(1/5/2010)

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 66

Date: 8/3/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/8/1999

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: 7/5/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/1/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INTEGRITAS SEMPER, LLC

CRD#: 152008 / SEC#:

California

Registered Investment Advisory firm - (1/5/2010 Approved)

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Contact information

Main Address

Windsor, CA

Mailing Address

Phone number

(707) 322-2311

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 1,496,559

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.

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Advisor Monitoring

Firm Stability Insights

Thomas A. Drake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Drake's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2001

Series 63

Date: 3/8/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/5/2001

Series 6

Date: 12/1/1998

Current Firm

INTEGRITAS SEMPER, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INTEGRITAS SEMPER, LLC

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