Lisa M. Drake

SAGEVIEW ADVISORY GROUP

West Palm Beach, FL 33401

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CRD#: 4355836

Professional summary

Lisa Marie Drake, AIF®, who also goes by Lisa Marie Garcia, is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in West Palm Beach, Florida and CETERA WEALTH SERVICES, LLC located in West Palm Beach, Florida.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Lisa has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa Marie Garcia

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.NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY GROUP, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: RETIREMENT PLAN CONSULTANT START DATE: 9/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PROVIDING FIDUCIARY PLAN OVERSIGHT TO PLAN SPONSORS. ANSWER CLIENT QUESTIONS ABOUT THE PLANS, MEET WITH CLIENT'S SEMI-ANNUALLY OR QUARTERLY, VENDOR RELATION LIAISON, ASSIST IN KEEPING THEM UPDATED ON REGULATORY AND COMPLIANCE MATTERS, RUN INVESTMENT REPORTS; 2. NAME OF OTHER BUSINESS: AMERICAN RETIREMENT ASSOCIATION, INVESTMENT RELATED: NO, ADDRESS: 4401 FAIRFAX DR #600, ARLINGTON, VA 22203, NATURE OF BUSINESS: NON-PROFIT, START DATE: 04/2025, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER AS NAPA PRESIDENT, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: SIT ON THE ARA BOARD AS NAPA PRESIDENT ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Marie 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

July 29, 2019 - Present

SAGEVIEW ADVISORY GROUP, LLC

Office #1: 1645 Palm Beach Lakes Blvd #1200, West Palm Beach, FL 33401

RIA

CRD#: 126777

West Palm Beach, FL

Current

June 7, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1645 Palm Beach Lakes #1200, West Palm Beach, FL 33401

CRD#: 13572

West Palm Beach, FL

Past

November 9, 2018 - May 20, 2019

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

Maitland, FL

Past

July 25, 2011 - October 26, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

MAITLAND, FL

Past

May 13, 2011 - October 26, 2018

LPL FINANCIAL LLC

CRD#: 6413

MAITLAND, FL

Past

March 21, 2011 - May 18, 2011

OSAIC SERVICES, INC.

CRD#: 133763

MAITLAND, FL

Past

March 14, 2011 - May 18, 2011

OSAIC SERVICES, INC.

RIA

CRD#: 133763

MAITLAND, FL

Past

July 25, 2006 - June 4, 2009

CBIZ FINANCIAL SOLUTIONS, INC.

RIA

CRD#: 16678

MAITLAND, FL

Past

June 5, 2006 - June 4, 2009

CBIZ FINANCIAL SOLUTIONS, INC.

CRD#: 16678

CLEVELAND, OH

Past

December 9, 2004 - April 27, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ORLANDO, FL

Past

October 13, 2004 - April 27, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 13, 2004 - April 27, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ORLANDO, FL

Past

April 21, 2004 - August 24, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 1, 2002 - April 8, 2003

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

September 18, 2001 - March 8, 2002

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

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".

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 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.

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

Florida
(7/10/2019)

IAR

Florida
(7/29/2019)

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 66

Date: 12/7/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/2/2001

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: 3/12/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/17/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

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Contact information

Main Address

4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660

Mailing Address

Phone number

(800) 814-8742

Established

Firm type

Fiscal year end

# of Employees

248

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGEVIEW ADVISORY GROUP ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13,295
AUM (Assets Under Management)	$ 238,552,018,915

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

Lisa M. Drake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Marie Drake's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

WEALTHSPIRE RETIREMENT ADVISORY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

CBIZ FINANCIAL SOLUTIONS, INC.

CBIZ FINANCIAL SOLUTIONS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

CHARLES SCHWAB & CO., INC.

LINCOLN INVESTMENT

NATHAN & LEWIS SECURITIES, INC.

Primary Firm SEC Registration

SAGEVIEW ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/7/2004

Series 63

Date: 10/2/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/12/2003

Series 6

Date: 9/17/2001

FINRA

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGEVIEW ADVISORY GROUP, LLC

TRUST BUT VERIFY

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