Teams at Drake & Associates

Meet with prospective clients from seminars, workshops, and referrals; present financial planning solutions; develop and implement tailored retirement, investment, insurance, and long-term-care strategies; advise clients on annuities, life insurance, and managed investments; participate in marketing initiatives; and build lasting client relationships. The role includes guaranteed appointments and requires strong sales, communication, organizational, analytical, and local marketing skills.

Supports daily firm operations, maintains client records across multiple systems, collaborates with departments to improve processes and client satisfaction, and assists with special projects assigned by the Director of Operations.

Lead the firm's comprehensive compliance program, including SEC filings, examinations, testing, audits, risk assessments, policies, advertising review, employee compliance, training, and remediation. Advise leadership on regulatory risk, business initiatives, technology, and growth while ensuring compliance processes are practical and scalable.