Charles G. Drake

HOLISTIC WEALTH ADVISORS

Guilford, CT 06437

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CRD#: 4197428

Professional summary

Charles Gary Drake, AIF®, who also goes by Gary Drake, is a registered financial advisor currently at HOLISTIC WEALTH ADVISORS located in Guilford, Connecticut and LPL FINANCIAL LLC located in Guilford, Connecticut.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Charles has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gary 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.

1) 07/30/2018 - Non-Variable Insurance - Sterling Holistic Advisors - 100% - INVESTMENT RELATED - Harrisburg, PA 2) 12/16/2024 - Holistic Wealth Advisors DBA for LPL Business (entity for LPL business) - Charles Gary Drake - 100% - INVESTMENT RELATED - GUILFORD, CT 06437 3) 12/30/2024- Holistic Wealth Advisors- Registered Investment Advisor- I provide investment advisory services through Holistic Wealth Advisors, an independent investment advisor firm. I started this business activity in 12/2024. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. - INV Related- At GUILFORD, CT - Start date 12/18/2024- 20 Hours Per Month- 20 Hours During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Gary Drake'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

December 20, 2024 - Present

HOLISTIC WEALTH ADVISORS

Office #1: 5 Church Street, Guilford, CT 06437

RIA

CRD#: 332918

Guilford, CT

Current

July 30, 2018 - Present

LPL FINANCIAL LLC

Office #1: 135 Church St, Guilford, CT 06437

RIA

CRD#: 6413

Guilford, CT

Past

July 30, 2018 - December 18, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

GUILFORD, CT

Past

September 3, 2013 - July 30, 2018

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

GUILFORD, CT

Past

September 3, 2013 - July 30, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

GUILFORD, CT

Past

March 6, 2007 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

GUILFORD, CT

Past

August 1, 2003 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

GUILFORD, CT

Past

November 28, 2002 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

July 12, 2000 - March 22, 2002

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

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".

HOLISTIC WEALTH ADVISORS

CRD#: 332918 / SEC#: 801-131511

RIA

Registered Investment Advisory firm - (11/26/2024 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(7/30/2018)

Arizona
(7/30/2018)

California
(7/30/2018)

Connecticut
(7/30/2018)

IAR

Connecticut
(12/20/2024)

Florida
(7/30/2018)

Indiana
(11/8/2022)

Maine
(7/30/2018)

Massachusetts
(7/30/2018)

New Hampshire
(10/2/2020)

New Jersey
(7/30/2018)

New York
(7/30/2018)

IAR

New York
(12/20/2024)

Oregon
(10/2/2020)

Pennsylvania
(7/30/2018)

Rhode Island
(4/3/2024)

South Carolina
(9/25/2019)

Vermont
(7/30/2018)

Virgin Islands
(7/30/2018)

Washington
(7/30/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/22/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/2000

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: 7/11/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HOLISTIC WEALTH ADVISORS

CRD#: 332918 / SEC#: 801-131511

RIA

Registered Investment Advisory firm - (11/26/2024 Approved)

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Contact information

Main Address

5 Southside Drive Suite 204, Clifton Park, NY 12065

Mailing Address

Phone number

(518) 357-3858

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HWA WRAP 032025 (3/31/2025)

HWA ADV2A 032025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,097
AUM (Assets Under Management)	$ 234,323,910

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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Firm Stability Insights

Charles G. Drake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Gary Drake's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

FFP SECURITIES, INC.

Primary Firm SEC Registration

HOLISTIC WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/2007

Series 63

Date: 9/20/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/11/2000

FINRA

Current Firm

HOLISTIC WEALTH ADVISORS

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOLISTIC WEALTH ADVISORS

TRUST BUT VERIFY

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