Business Description

AWA Wealth Management was founded with the goal of assisting our clients in every aspect of their financial lives. We’ve provided some of the most comprehensive and personal service available, thus earning a reputation for excellence in our industry. For each of our clients we strive to create financial stability and security to provide financial independence.

Our staff consists of experienced professionals with a "hands on" approach to financial guidance. Not only do clients find our team members knowledgeable, but they also discover that our staff truly cares about helping make their goals a reality. We do everything in our power to keep our clients focused on where they want to go, advise them on how to get there, and continually remind them of the importance of maintaining a disciplined approach to pursuing their goals.

Our company is based on the principle that education and understanding of one’s current financial situation is vital to successfully make prudent decisions concerning one’s future financial condition. If you have any questions about your current financial situation or wish to schedule an appointment, send us an email or give us a call.

Our mission is to lead our clients in the right direction to help plan their financial future. This mission will be accomplished through education, communication and service that exceeds our clients' expectations while maintaining the highest degree of integrity.

Richard Drake is a Registered Representative with and Securities and Advisory Services are offered through LPL Financial, Member FINRA/SIPC.

General Information

Gender:

Male

CRD#:

4933354

Firm CRD#:

6413

Insurance License#:

638498

Name of Broker/Dealer:

LPL Financial

States Licensed in:

CA, CT, NV, NY

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Non-Profit Organizations, Businesses

Services

Investment Types:

Options & Futures, Exchange Traded Funds (ETFs), Alternative Investments, Bonds, Mutual Funds, Insurance, Annuities, Stocks, Socially Responsible Investments (SRI)

Qualifications & Memberships

Securities Licenses:

Series 6, Series 7, Series 65, Series 63

Insurance and Annuity Licenses:

Health, Disability, Variable Life, Long Term Care, Variable Annuity, Annuity, Life

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

1,000 +

Assets Managed by Firm:

$150,000,000 +

Assets Managed by Advisor:

N/A

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Compensation Methods:

Based on Assets, Commissions

Prepared By:

Dick Drake