Allen S. Drake

ROYALE INVESTMENT ADVISOR LLC

LAKE MATHEWS, CA 92570

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CRD#: 4679918

Professional summary

Allen Stephen Drake is a registered financial advisor currently at ROYALE INVESTMENT ADVISOR LLC located in Lake Mathews, California.

Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Allen has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

SELL LIFE, HEALTH AND DISABILITY INSURANCE TO PROTECT MY CLIENTS FINANCIAL PLAN. AGENT/W EMC INSURANCE SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Stephen 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

October 13, 2006 - Present

ROYALE INVESTMENT ADVISOR LLC

Office #1: 15610 Ranchito Drive, Lake Mathews, CA 92570

RIA

CRD#: 141287

LAKE MATHEWS, CA

Past

July 1, 2003 - August 14, 2006

OSAIC WEALTH, INC.

CRD#: 23131

ORANGE, CA

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
(11/20/2006)

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 65

Date: 9/19/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/27/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/30/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROYALE INVESTMENT ADVISOR LLC

CRD#: 141287 / SEC#:

California

Registered Investment Advisory firm - (11/20/2006 Approved)

Maine

Registered Investment Advisory firm - (3/12/2014 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).

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Contact information

Main Address

Lake Mathews, CA

Mailing Address

9825 Magnolia Ave. Suite B-413, Riverside, CA 92503

Phone number

(847) 241-8455

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 8,971,064

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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Allen S. Drake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Stephen Drake's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROYALE INVESTMENT ADVISOR LLC

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2006

Series 63

Date: 7/10/2003

Series 7

Date: 7/27/2004

Series 6

Date: 6/30/2003

Current Firm

ROYALE INVESTMENT ADVISOR LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROYALE INVESTMENT ADVISOR LLC

TRUST BUT VERIFY

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