Charles V. Drake
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.
Charles Vincent Drake JR, who also goes by Charles VIncent Drake, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1977. Charles had worked at 18 firms and has passed the Series 63, Series 15, Series 7, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2001 - February 28, 2002
MOORS & CABOT, INC.
December 19, 2000 - June 11, 2001
AUERBACH, POLLAK & RICHARDSON INC.
January 11, 2000 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
December 1, 1998 - January 13, 2000
ROTH CAPITAL PARTNERS, LLC
December 18, 1995 - October 27, 1998
VANGUARD CAPITAL
September 22, 1995 - June 11, 1996
GLOBAL STRATEGIES GROUP, INC.
August 22, 1991 - September 11, 1995
FINANCIAL SQUARE PARTNERS
July 25, 1989 - August 5, 1991
LEHMAN BROTHERS INC.
May 20, 1986 - July 5, 1989
CITIGROUP GLOBAL MARKETS INC.
October 11, 1984 - June 5, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
March 6, 1984 - May 10, 1984
ROONEY, PACE INC.
February 7, 1983 - March 2, 1984
J. DAVID SECURITIES, INC.
September 22, 1980 - February 25, 1983
MORGAN STANLEY DW INC.
July 6, 1979 - July 18, 1980
PRUDENTIAL EQUITY GROUP, LLC
December 14, 1978 - August 10, 1979
LOEB PARTNERS
January 27, 1978 - December 1, 1978
PRUDENTIAL EQUITY GROUP, LLC
September 8, 1977 - February 16, 1978
VERRILLI ALTSCHULER SCHWARTZ INC.
April 14, 1977 - November 4, 1977
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 2/15/1984
Foreign Currency Options ExaminationSeries 1
Date: 4/11/1977
Registered Representative ExaminationCurrent Firm
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
