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Samuel B Drake

Oppenheimer & Co. Inc.

Atlanta, GA

Sandy Springs, GA

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2020-10-06
  • GA RA
    APPROVED
    Since 2020-10-06

Branch Locations

Phipps Tower-3438 Peachtree Rd Ne Suite 950, Atlanta, GA 30326 • United States

Sandy Springs, GA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Atlanta GA 03/2010 01/2020
Morgan Stanley Private Bank, National Association New York NY 01/2015 01/2020
Rbc Capital Markets, Llc Atlanta GA 01/2020 08/2020
Oppenheimer & Co, Inc. Atlanta GA 10/2020 Present
  • 03/2010 → 01/2020
    Morgan Stanley Smith Barney
    Atlanta, GA
  • 01/2015 → 01/2020
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 01/2020 → 08/2020
    Rbc Capital Markets, Llc
    Atlanta, GA
  • 10/2020 → Present
    Oppenheimer & Co, Inc.
    Atlanta, GA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-06-09
S63 Uniform Securities Agent State Law Examination 1993-09-17
  • S65 Uniform Investment Adviser Law Examination
    1994-06-09
  • S63 Uniform Securities Agent State Law Examination
    1993-09-17
Other Names
  • Sam Drake
  • Samuel B Drake
  • Samuel Basil Drake
  • Sam Basil Drake

View on SEC IAPD

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