DH
Drake C. Hess
CETERA INVESTMENT ADVISERS LLC
LANCASTER, SC 29720
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CRD#: 7516839
DH
Professional summary
Drake Collin Hess, who also goes by Drake C Hess, Drake Hess, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lancaster, South Carolina and CETERA WEALTH SERVICES, LLC located in Lancaster, South Carolina.
Drake is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Drake has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Drake C Hess | Drake Hess
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.
1) HESS FINANCIAL PLANNING INC POSITION: Investment Advisor NATURE: Work with clients and their investment accounts as licenses allow INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/26/2022 ADDRESS: 401 N Main St, Lancaster SC 29720, United States DESCRIPTION: Open client accounts, manage investments, meet with clients, recommend suitable investments, complete tax returns 2) HESS TAX & ACCOUNTING GROUP LLC POSITION: Tax Advisor NATURE: Provide tax and write up work for clients year end quarterly and monthly needs. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 48 START DATE: 01/01/2023 ADDRESS: 401 N Main St, Lancaster SC 29720, United States DESCRIPTION: Prepare tax returns, P&Ls, balance sheets, and other accounting services 3) MORIAH BAPTIST ASSOCIATION POSITION: Treasurer NATURE: The treasurer in accord with the finance committee, sets and reviews budgets, payroll, and income resources. The treasurer is responsible to report financial health for monthly and annual meetings of the Moriah Association. The Treasurer is a non-voting position. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2023 ADDRESS: 914 W Meeting St, Lancaster SC 29720, United States DESCRIPTION: Sign checks, review budgets, report to other committees and association members, and meet with committees when needed on financial questions
CRS (Client Relationship Summary) - RIA
Click below to view Drake Collin Hess'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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 401 N Main St, Lancaster, SC 29720RIA
CRD#: 105644
LANCASTER, SC
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 401 N Main St, Lancaster, SC 29720BD
CRD#: 13572
LANCASTER, SC
Past
February 21, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Lancaster, SC
Past
October 8, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
LANCASTER, SC
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
District of Columbia(9/5/2025)
RR
Georgia(9/5/2025)
RR
North Carolina(9/5/2025)
RR
South Carolina(9/5/2025)
IAR
South Carolina(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/8/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
