Individual Firm
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CHARLES EDWARD DRAKE JR
CRD#: 1992092
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 301 A. MAIN STREET
GREENWOOD, SC 29646
GREENWOOD, SC 29646
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3/19/1999
Criminal
Final Disposition
State Registrations
B
Florida 5/7/2004
B
Ohio 9/2/2022
IA
Florida 5/20/2004
IA
Ohio 9/8/2022
B
Georgia 10/30/2007
B
South Carolina 6/8/1999
IA
Georgia 3/7/2024
IA
South Carolina 5/25/2004
B
North Carolina 11/6/2002
B
Texas 6/17/2014
IA
North Carolina 11/19/2015
IA
Texas 7/14/2014
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/20/2004
B
Registered with this firm since 6/2/1999
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/08/2002 - 12/31/2003 | GREENWOOD, SC | |
B | 06/02/1999 - 01/05/2000 | NEW YORK, NY | |
B | 03/21/1996 - 01/12/1998 | NEW YORK, NY | |
B | 09/22/1989 - 04/04/1996 | NEW YORK, NY | |
B | 09/22/1989 - 04/04/1996 | NEW YORK, NY |
NEW YORK, NY
06/02/1999 - 01/05/2000
NEW YORK, NY
09/22/1989 - 04/04/1996
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.