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TW

Tykia Williams

Some features on this profile are disabled
CRD#: 6799581
TW

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.

Tykia Williams was a registered financial professional .

Tykia is a previously registered financial professional and started their career in finance in 2017. Tykia had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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

March 5, 2024 - November 6, 2025

DRAKE & ASSOCIATES, LLC

RIA
CRD#: 154854
WAUKESHA, WI
Past

March 7, 2019 - December 7, 2022

RUSSELL INVESTMENTS

RIA
CRD#: 105734
SEATTLE, WA
Past

January 24, 2019 - December 7, 2022

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
MILWAUKEE, WI
Past

August 25, 2017 - November 1, 2018

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
MENOMONEE FALLS, WI

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/7/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/7/2017
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 7
Date: 8/25/2017
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
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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#: 154854

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