AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MD

Matthew L. Drake

BASEROCK CAPITAL
DENVER, CO 80202
Some features on this profile are disabled
CRD#: 6099307
MD

Professional summary

Matthew Lee Drake, who also goes by Matt Drake, is a registered financial professional currently at BASEROCK CAPITAL, LLC located in Denver, Colorado.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2012. Matthew has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matt Drake

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) - BD

Click below to view Matthew Lee 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

June 17, 2024 - Present

BASEROCK CAPITAL, LLC

Office #1: 1144 15th Street Suite 3290, Denver, CO 80202
BD
CRD#: 328592
DENVER, CO
Past

January 24, 2018 - March 29, 2021

FMI CAPITAL ADVISORS, INC.

BD
CRD#: 129262
DENVER, CO
Past

November 9, 2015 - December 5, 2017

PRAIRIE CAPITAL MARKETS, LLC

BD
CRD#: 158309
CHICAGO, IL
Past

August 9, 2012 - January 31, 2014

PRAIRIE CAPITAL MARKETS, LLC

BD
CRD#: 158309
OAKBROOK TERRACE, IL

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.

Exams

State Security Law Exam
RR
Series 63
Date: 9/17/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/20/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/8/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BASEROCK CAPITAL, LLC
BASEROCK CAPITAL, LLC

CRD#: 328592 / SEC#: , 8-71191

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
1144 15th Street Suite 3290, Denver, CO 80202
Mailing Address
1144 15th Street Suite 3290, Denver, CO 80202
Phone number
(720) 853-4231
Established
Colorado since 10/06/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BASEROCK PARTNERS, LLCSOLE MEMBER
FLEISCHMAN, SAMUEL JAYCCO1860709
STEINEGGER, JOHN FRANKFINOP4008490
STEINEGGER, JOHN FRANK IIICEO4008490

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.

Company Information

BASEROCK CAPITAL, LLC

CRD#: 328592Denver, CO 80202

TRUST BUT VERIFY

Monitor Matthew Drake

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Craig Stuart Johlfs
Craig JohlfsAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Greenwood Village, CO
Ralph Milburn Jones JR
Ralph JonesAdvisorCheck Check Mark
OPPENHEIMER & CO. INC.
IAR
RR
Denver, CO
Lorie Chantelle Jones
Lorie JonesAdvisorCheck Check Mark
TANDEM FINANCIAL, LLC
IAR
GREENWOOD VILLAGE, CO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics