Richard R. Rake

FINANCIAL RESOURCES GROUP

GLASTONBURY, CT 06033

CRD#: 841223

Professional summary

Richard R Rake, CFP®, who also goes by Rick Rake, is a registered financial advisor currently at FINANCIAL RESOURCES GROUP, LLC located in Glastonbury, Connecticut.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Richard has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 24 and Series 26 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Retirement Income Management

Estate Planning

Comprehensive Financial Planni...

Life Transitions

Investment Planning

Long-term Care

Employee and Employer Plan Ben...

Retirement Planning

Tax Planning

Are you a "fiduciary"?

Yes

Aliases

Rick Rake

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) INSURVEST GROUP 140 HEBRON AVENUE, SUITE 101A PO BOX 717 GLASTONBURY, CT 06033 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: OWNER DUTIES: ENTITY USED TO MARKETING ACCIDENT/HEALTH INSURANCE, DISABILITY INSURANCE, FIXED/INDEXED ANNUITIES, HEALTH SAVING ACCOUNTS AND TRADITIONAL LIFE INSURANCE PRODUCTS. START DATE: 03/1987 HOURS PER MONTH: 5 HOURS PER MONTH DURING TRADING HOURS: 5. 2) RICHARD RAKE 140 HEBRON AVENUE, SUITE 101A GLASTONBURY, CT 06033 CATEGORY: NOTARY PUBLIC INVESTMENT-RELATED: NO TITLE: NOTARY DUTIES: NOTORIZING SIGNATURE GUARANTEE CARDS FOR REPRESENTATIVES FOR BUSINESS SUBMISSION I.E. SIGNATURE GUARANTEE CARD. START DATE: 08/1992 HOURS PER MONTH: 0 HOURS PER MONTH DURING TRADING HOURS: 0. 3) FINANCIAL RESOURCES GROUP, LLC. 140 HEBRON AVENUE, SUITE 101A GLASTONBURY, CT 06033 CATEGORY: LEGAL ENTITY/TAX PREPARATION INVESTMENT RELATED: NO TITLE: MANAGER DUTIES: OVERSEE TAX FORM PREPARATION AND MANAGEMENT OF THE COMPANY. START DATE: 02/01/2018 HOURS PER MONTH: 3 HOURS PER MONTH DURING TRADING HOURS: 3.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard R Rake'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

September 4, 2018 - Present

FINANCIAL RESOURCES GROUP, LLC

Office #1: 116 Oak Street 2nd Floor, Glastonbury, CT 06033

RIA

CRD#: 293380

GLASTONBURY, CT

Past

September 2, 2003 - August 30, 2018

OSAIC FS, INC.

RIA

CRD#: 3870

GLASTONBURY, CT

Past

March 17, 1997 - December 22, 2016

INDEPENDENT ADVISERS GROUP CORP

RIA

CRD#: 106684

GLASTONBURY, CT

Past

June 7, 1990 - August 30, 2018

OSAIC FS, INC.

CRD#: 3870

GLASTONBURY, CT

Past

December 18, 1989 - June 11, 1990

BROAD REACH CAPITAL, INC.

CRD#: 10045

Past

November 28, 1986 - December 13, 1989

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 29, 1983 - December 20, 1986

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Past

August 2, 1977 - August 26, 1982

SIGNATOR INVESTORS, INC.

CRD#: 468

Past

August 2, 1977 - March 2, 1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

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

Connecticut
(9/4/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/14/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/1997

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 7/28/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/19/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/5/1992

Investment Company Products/Variable Contracts Principal Examination

Current Firm

FINANCIAL RESOURCES GROUP, LLC

CRD#: 293380 / SEC#:

Connecticut

Registered Investment Advisory firm - (9/4/2018 Approved)

Texas

Registered Investment Advisory firm - (2/28/2024 Conditional Restricted)

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Contact information

Main Address

116 Oak Street 2nd Floor, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 657-8380

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	361
AUM (Assets Under Management)	$ 81,064,003

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Richard R. Rake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard R Rake's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC FS, INC.

INDEPENDENT ADVISERS GROUP CORP

OSAIC FS, INC.

BROAD REACH CAPITAL, INC.

WALNUT STREET SECURITIES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 3/14/1991

SIE

Date: 8/30/2018

Series 7

Date: 3/10/1997

Series 1

Date: 7/28/1977

Series 24

Date: 3/19/1997

Series 26

Date: 10/5/1992

Current Firm

FINANCIAL RESOURCES GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL RESOURCES GROUP, LLC

TRUST BUT VERIFY

Contact information

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