Austin L. Drake

STERNECK CAPITAL MANAGEMENT LLC

KANSAS CITY, MO 64116

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CRD#: 6365082

Professional summary

Austin Lloyd Drake, CFP®, who also goes by Austin Lloyd Drake, is a registered financial advisor currently at STERNECK CAPITAL MANAGEMENT LLC located in Kansas City, Missouri.

Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Austin has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Austin Lloyd 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) - RIA

Click below to view Austin Lloyd Drake's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

December 13, 2018 - Present

STERNECK CAPITAL MANAGEMENT LLC

Office #1: 1251 Nw Briarcliff Pkwy Ste 95, Kansas City, MO 64116

RIA

CRD#: 111463

KANSAS CITY, MO

Past

November 30, 2017 - June 13, 2018

B. RILEY SECURITIES, INC.

CRD#: 25027

Los Angeles, CA

Past

August 10, 2015 - November 30, 2017

B. RILEY & CO., LLC

CRD#: 40355

LOS ANGELES, CA

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".

STERNECK CAPITAL MANAGEMENT LLC

CRD#: 111463 / SEC#: 801-45256

RIA

Registered Investment Advisory firm - (12/20/1993 Approved)

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

Missouri
(4/15/2019)

IAR

Texas
(4/15/2019)

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: 4/15/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/2/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 7/29/2016

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 6/20/2016

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 8/10/2015

General Securities Representative Examination

Current Firm

STERNECK CAPITAL MANAGEMENT LLC

CRD#: 111463 / SEC#: 801-45256

RIA

Registered Investment Advisory firm - (12/20/1993 Approved)

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Contact information

Main Address

1251 Nw Briarcliff Pkwy Ste 95, Kansas City, MO 64116

Mailing Address

Phone number

(816) 531-2254

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (9/25/2025)

Regulatory assets under management

Total Number of Accounts	638
AUM (Assets Under Management)	$ 277,853,450

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

Austin L. Drake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin Lloyd Drake's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY SECURITIES, INC.

B. RILEY & CO., LLC

Primary Firm SEC Registration

STERNECK CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/15/2019

Series 63

Date: 11/2/2015

SIE

Date: 6/13/2018

Series 87

Date: 7/29/2016

Series 86

Date: 6/20/2016

Series 7

Date: 8/10/2015

Current Firm

STERNECK CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STERNECK CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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