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JC

Jonathan C. Costa

DRAKE & ASSOCIATES
WAUKESHA, WI 53186
Some features on this profile are disabled
CRD#: 6708695
JC

Professional summary

Jonathan Carl Costa, who also goes by Jonathan Costa, is a registered financial advisor currently at DRAKE & ASSOCIATES, LLC located in Waukesha, Wisconsin.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Jonathan has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 57, Series 19 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jonathan Costa

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 Jonathan Carl Costa'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®
None

Experience

Current

April 30, 2024 - Present

DRAKE & ASSOCIATES, LLC

Office #1: 20965 Crossroads Circle, Waukesha, WI 53186
RIA
CRD#: 154854
WAUKESHA, WI
Past

December 7, 2022 - March 1, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
ALTAMONTE SPRINGS, FL
Past

June 15, 2021 - February 29, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SCARSDALE, NY
Past

March 13, 2017 - July 2, 2019

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NY, NY
Past

November 14, 2016 - March 17, 2017

MAXIM GROUP LLC

BD
CRD#: 120708
WOODBURY, 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".
D&
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)

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
Wisconsin
(4/30/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/4/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/18/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 1/2/2018
Securities Trader Exam
General Industry/Product Exam
RR
Series 19
Date: 6/29/2017
NYSE Floor Clerk - Equities Examination
General Industry/Product Exam
RR
Series 7
Date: 11/14/2016
General Securities Representative Examination

Current Firm

D&
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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
34

SEC notice filing (8 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DRAKE 2A BROCHURE (3/17/2026)

Regulatory assets under management

Total Number of Accounts3,401
AUM (Assets Under Management)$ 607,255,901

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

DRAKE & ASSOCIATES, LLC

CRD#: 154854Waukesha, WI 53186

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