AD
Adam S. Drake
HIGHLAND INVESTMENT ADVISORS LLC
Ponte Vedra, FL 32081
Some features on this profile are disabled
CRD#: 3234115
AD
Professional summary
Adam Sean Drake, CFA, who also goes by Adam S Drake, is a registered financial advisor currently at HIGHLAND INVESTMENT ADVISORS LLC located in Ponte Vedra, Florida.
Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Adam has worked at 5 firms and has passed the Series 65, Series 63, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam S 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Sean 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®
Experience
Current
March 31, 2009 - Present
HIGHLAND INVESTMENT ADVISORS LLC
Office #1: 466 Town Plaza Ave Ste 330, Ponte Vedra, FL 32081RIA
CRD#: 141694
Ponte Vedra, FL
Past
November 9, 2005 - September 4, 2008
VOYAGER CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124697
LAKE GENEVA, WI
Past
July 20, 2005 - May 15, 2007
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
LAKE GENEVA, WI
Past
August 8, 2003 - July 18, 2005
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 2, 2001 - July 24, 2003
STRONG INVESTMENTS, INC.
BD
CRD#: 15658
MENOMONEE FALLS, WI
Past
July 27, 2000 - July 2, 2001
STRONG INVESTMENTS, INC.
BD
CRD#: 15658
MENOMONEE FALLS, WI
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".
HI
HIGHLAND INVESTMENT ADVISORS LLC
HIGHLAND INVESTMENT ADVISORS DBA FUND MANAGEMENT | HIGHLAND INVESTMENT ADVISORS LLC | HIGHLAND INVESTMENT ADVISORS DBA WHITMAN WEALTH MANAGEMENT
CRD#: 141694 / SEC#: 801-120113
RIA
Registered Investment Advisory firm - (1/11/2021 Approved)Florida
Registered Investment Advisory firm - (12/9/2021 Terminated)North Dakota
Registered Investment Advisory firm - (12/9/2021 Terminated)Oregon
Registered Investment Advisory firm - (12/14/2021 Terminated)Washington
Registered Investment Advisory firm - (1/14/2022 Terminated)Wisconsin
Registered Investment Advisory firm - (12/9/2021 Terminated)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
Florida(10/2/2015)
IAR
North Dakota(3/3/2020)
IAR
Oregon(7/6/2015)
IAR
Texas(7/1/2024)
IAR
Washington(6/28/2013)
IAR
Wisconsin(3/31/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HI
HIGHLAND INVESTMENT ADVISORS LLC
HIGHLAND INVESTMENT ADVISORS DBA FUND MANAGEMENT | HIGHLAND INVESTMENT ADVISORS LLC | HIGHLAND INVESTMENT ADVISORS DBA WHITMAN WEALTH MANAGEMENT
CRD#: 141694 / SEC#: 801-120113
RIA
Registered Investment Advisory firm - (1/11/2021 Approved)Florida
Registered Investment Advisory firm - (12/9/2021 Terminated)North Dakota
Registered Investment Advisory firm - (12/9/2021 Terminated)Oregon
Registered Investment Advisory firm - (12/14/2021 Terminated)Washington
Registered Investment Advisory firm - (1/14/2022 Terminated)Wisconsin
Registered Investment Advisory firm - (12/9/2021 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
466 Town Plaza Ave Ste 330, Ponte Vedra, FL 32081
Mailing Address
Phone number
(414) 755-2309
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,305 |
| AUM (Assets Under Management) | $ 308,526,690 |
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.
Company Information
HIGHLAND INVESTMENT ADVISORS LLC
CRD#: 141694Ponte Vedra, FL 32081TRUST BUT VERIFY
Monitor Adam Drake
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
