Michael R. Williams

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CRD#: 4968735

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.

Michael R Williams was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

August 19, 2014 - May 26, 2017

DRAKE & ASSOCIATES, LLC

RIA

CRD#: 154854

WAUKESHA, WI

Past

October 17, 2011 - August 21, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MEQUON, WI

Past

October 11, 2011 - August 21, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MEQUON, WI

Past

December 11, 2007 - November 10, 2009

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SHOREWOOD, WI

Past

December 11, 2007 - November 10, 2009

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SHOREWOOD, WI

Past

July 14, 2005 - February 9, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

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 66

Date: 12/29/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 8/26/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/13/2005

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)

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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.

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Advisor Monitoring

Firm Stability Insights

Michael R. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

DRAKE & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2007

Series 31

Date: 8/26/2005

Series 7

Date: 7/13/2005

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

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