Sarah Drake has been an investment adviser representative at Northeast Planning Associates since September 2025, and is not listed among the firm’s executive officers or direct owners. Sarah Drake holds a Bachelor's Degree in Healthcare Management from Colby-Sawyer College.
Northeast Planning Associates, Inc. is a Bedford, NH firm with $414M under management, 959 clients and 69 advisers across 36 offices, as of its May 2026 filing.
Sarah Drake is a Financial Advisor with Northeast Planning Associates, Inc., and has been with the firm since 2021. Since graduating she has worked at Lincoln Financial and served in law enforcement as a police officer for 7 years.
Sarah Drake’s longest registration is the current one, 1 year at LPL Financial LLC since 2025.
- – present · 1 yearFairhaven, MA · Adviser representative · Firm CRD 131406
- LPL Financial LLCAlso current– present · 1 yearAdviser representative · Firm CRD 6413
Investment adviser representative registrations
Sarah Drake is registered as an investment adviser representative in 2 states. The first approvals date from June 2025; the most recent is Massachusetts, in July 2025.
- MassachusettsSince 3 July 2025
- New HampshireSince 23 June 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 21 June 2025 |
| Series 7TO | General Securities Representative Examination | 17 October 2024 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 December 2023 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 12 July 2022 |
| SIE | Securities Industry Essentials Examination | 8 December 2021 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Sarah Whaley Drake
- CRD
- 5398576
- Firm
- Northeast Planning Associates · CRD 131406
- Office
- 252 SCONTICUT NECK ROAD, Fairhaven, MA 02719
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2022
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- financialplanningsecurity.com
Where does Sarah Drake work?
Sarah Drake is an investment adviser representative registered through Northeast Planning Associates, Inc. since September 2025, and is not listed among the firm’s executive officers or direct owners.
Is Sarah Drake a financial advisor?
Yes. Sarah Drake has a current investment-adviser registration in Massachusetts and New Hampshire, through Northeast Planning Associates since September 2025.
How many years of experience does Sarah Drake have?
Sarah Drake has 4 years in the financial industry, since July 2022, across 2 adviser firms.
What exams has Sarah Drake passed?
Sarah Drake has passed 5 licensing exams: the SIE, Series 6TO, Series 63, Series 7TO and Series 65. The earliest, the SIE, was passed in December 2021.
Where is Sarah Drake based?
Sarah Drake’s registered office is in Fairhaven, MA.
Is Sarah Drake registered with FINRA?
Yes. Sarah Drake has a current broker registration, under CRD 5398576.
Source: FINRA BrokerCheck
How can I verify Sarah Drake’s record?
Search CRD 5398576 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Sarah Drake’s full registration record.
