Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Drake is a registered investment advisor representative with RBC Capital Markets, LLC. Stephen has been in the industry since 1982 and holds licenses in Texas and Colorado. Stephen previously worked for Salomon Smith Barney Inc., Lehman Brothers Inc., Oppenheimer & Co., Inc. and Bache Halsey Stuart Shields Incorporated. Stephen is a licensed Securities Industry Essentials Examination (SIE), General Securities Representative Examination (Series 7), and Interest Rate Options Examination (Series 5) representative. Stephen is also a licensed Uniform Securities Agent State Law Examination (Series 63) and Uniform Investment Adviser Law Examination (Series 65) representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
TX
10/19/2005 - Present
RBC Capital Markets, LLC (HOUSTON TX)
NY
07/31/1993 - 09/21/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
06/01/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/23/1982 - 06/07/1988
OPPENHEIMER & CO., INC.
NA
08/22/1981 - 04/05/1982
BACHE HALSEY STUART SHIELDS INCORPORATED
IA
Issued 12/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/02/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 08/15/1981
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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