Unclaimed Profile

Mark Robert Flatow

DRAKE & ASSOCIATES, LLC·WAUKESHA, Wisconsin

SIE, Series 3, Series 7, Series 66CFA19 years registeredDRAKE & ASSOCIATES, LLC

2212 E. MORELAND BLVD SUITE 200, WAUKESHA, WI 53186CRD# 5145191Firm CRD# 154854

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Robert Flatow · WAUKESHA, WI

Registration

CRD #5145191 · DRAKE & ASSOCIATES, LLC · 19 years registered

Brand Profile

Not yet started

Career History

REVISE CAPITAL LLC

Aug 2023 – present

DRAKE & ASSOCIATES, LLC

Sep 2022 – Feb 2023

WAUKESHA, WI

INSCRIPTION FAMILY OFFICE, LLC

Sep 2019 – Jul 2022

HOUSTON, TX

INSCRIPTION CAPITAL, LLC

Apr 2018 – Jul 2022

HOUSTON, TX

UBS FINANCIAL SERVICES INC.

Feb 2015 – Apr 2018

HOUSTON, TX

MORGAN STANLEY

Jan 2012 – Feb 2015

HOUSTON, TX

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Feb 2007 – Feb 2012

HOUSTON, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 66

Registration record

First registered · February 5, 2007

Years registered · 19

Professional designation · CFA

Disclosure History

2012Employment Separation After Allegations

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

DRAKE & ASSOCIATES, LLC

CRD 154854 · SEC 801-115301

AUM

$313M

Regulatory assets under management

Employees

2,332 client accounts

Services offered by DRAKE & ASSOCIATES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at DRAKE & ASSOCIATES, LLC →

Introduction

Speak with Mark

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Mark is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in WAUKESHA?

Browse all registered financial advisors in WAUKESHA, Wisconsin or claim this profile if it's yours.

Browse WAUKESHA Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Mark Robert Flatow offer?

Mark Robert Flatow specializes in Financial Planning, Investment Management. Contact their office in WAUKESHA, Wisconsin for a consultation.

What are Mark Robert Flatow's credentials?

Mark Robert Flatow holds the following professional designations: CFA. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Mark Robert Flatow located?

Mark Robert Flatow is based in WAUKESHA, Wisconsin, working with DRAKE & ASSOCIATES, LLC. Their office serves clients in the WAUKESHA metropolitan area and surrounding communities.

How does Mark Robert Flatow charge for services?

Mark Robert Flatow's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DRAKE & ASSOCIATES, LLC?

DRAKE & ASSOCIATES, LLC has approximately 25 employees and manages $313M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →