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Guy D. Drake

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CRD#: 828676
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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.

Guy Darby Drake was a registered financial advisor .

Guy is a previously registered financial advisor and started their career in finance in 1976. Guy had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 4 and Series 12 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

July 11, 2003 - June 1, 2010

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
MOUNT DORA, FL
Past

July 7, 2003 - May 3, 2010

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
MOUNT DORA, FL
Past

January 2, 2001 - July 14, 2003

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
MOUNT DORA, FL
Past

January 2, 2001 - July 14, 2003

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 3, 1994 - January 2, 2001

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

February 1, 1990 - January 3, 1994

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL
Past

December 16, 1988 - January 6, 1990

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

August 19, 1987 - December 19, 1988

MOORS & CABOT, INC.

BD
CRD#: 594
Past

September 8, 1982 - August 25, 1987

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

May 9, 1980 - August 10, 1982

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
Past

July 14, 1978 - May 3, 1980

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

October 21, 1976 - July 5, 1978

BLYTH EASTMAN DILLON & CO. INCORPORATED

BD
CRD#: 6361

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
IAR
Series 65
Date: 8/13/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/22/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/28/1981
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 10/23/1980
NYSE Branch Manager Examination

Current Firm

SF
SUMMIT FINANCIAL GROUP INC
SUMMIT FINANCIAL GROUP INC

CRD#: 109485 / SEC#: 801-56645

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Contact information

Main Address
595 S. Federal Highway Suite 500, Boca Raton, FL 33432-5541
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SUMMIT FINANCIAL GROUP WRAP FEE PROGRAM BROCHURE (3/30/2021)
SUMMIT FINANCIAL GROUP FIRM BROCHURE (3/30/2021)

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

SUMMIT FINANCIAL GROUP INC

CRD#: 109485

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