Simon D. Drake
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.
Simon David Drake, who also goes by Simon David Resnik, was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 2007. Simon had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2024 - July 16, 2024
DV EQUITIES
September 3, 2019 - April 18, 2022
BLUEFIN CAPITAL MANAGEMENT, LLC
October 1, 2008 - August 30, 2019
J.P. MORGAN SECURITIES LLC
November 22, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 5/15/2024
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/7/2008
Limited Representative-Equity Trader ExamCurrent Firm
DV EQUITIES
CRD#: 312688 / SEC#: , 8-70659
Contact information
Documents
Red Flags
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