Julie D. Lendman

Some features on this profile are disabled

CRD#: 4952200

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Julie Deanne Lendman, who also goes by Julie D Lendman, was a registered financial professional .

Julie is a previously registered financial professional and started their career in finance in 2006. Julie had worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Julie D Lendman

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 9, 2022 - March 7, 2023

DRAKE & ASSOCIATES, LLC

RIA

CRD#: 154854

Grand Rapids, MI

Past

January 11, 2018 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

GRAND RAPIDS, MI

Past

January 11, 2018 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

GRAND RAPIDS, MI

Past

November 12, 2015 - January 2, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

GRAND RAPIDS, MI

Past

April 29, 2015 - December 13, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

Past

April 21, 2014 - March 31, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

GRAND RAPIDS, MI

Past

April 17, 2014 - March 31, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

GRAND RAPIDS, MI

Past

February 17, 2010 - March 5, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

GRAND RAPIDS, MI

Past

June 19, 2009 - March 4, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GRAND RAPIDS, MI

Past

August 22, 2006 - April 23, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

GRAND RAPIDS, MI

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".

DRAKE & ASSOCIATES, LLC

DRAKE & ASSOCIATES, LLC | DRAKE WEALTH MANAGEMENT, LLC | DRAKE INVESTMENTS, LLC

CRD#: 154854 / SEC#: 801-115301

RIA

Registered Investment Advisory firm - (5/16/2019 Approved)

Michigan

Registered Investment Advisory firm - (12/3/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/20/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (5/20/2019 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/2/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/31/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/22/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/8/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/2006

General Securities Representative Examination

Current Firm

DRAKE & ASSOCIATES, LLC

DRAKE & ASSOCIATES, LLC | DRAKE WEALTH MANAGEMENT, LLC | DRAKE INVESTMENTS, LLC

CRD#: 154854 / SEC#: 801-115301

RIA

Registered Investment Advisory firm - (5/16/2019 Approved)

Michigan

Registered Investment Advisory firm - (12/3/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/20/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (5/20/2019 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

20965 Crossroads Circle, Waukesha, WI 53186

Mailing Address

Phone number

(414) 409-7226

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DRAKE 2A BROCHURE (4/14/2025)

Regulatory assets under management

Total Number of Accounts	2,611
AUM (Assets Under Management)	$ 418,750,691

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Julie D. Lendman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

DRAKE & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/2/2022

Series 66

Date: 7/31/2009

Series 63

Date: 9/22/2006

Series 7TO

Date: 3/8/2024

SIE

Date: 10/1/2018

Series 7

Date: 8/21/2006

Current Firm

DRAKE & ASSOCIATES, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DRAKE & ASSOCIATES, LLC

TRUST BUT VERIFY

Similar Advisors