Adam D. Droker

WATERROCK GLOBAL ASSET MANAGEMENT

Bellevue, WA 98007

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CRD#: 4830451

Professional summary

Adam D Droker, AIF®, who also goes by Adam David Droker, is a registered financial advisor currently at WATERROCK GLOBAL ASSET MANAGEMENT located in Bellevue, Washington.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Adam has worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam David Droker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

?Droker Financial LLC: is a legal entity that contracts currently holds funds related to Adam's interest in DROVY LLC. Adam spends less than 10 hours per year. ?STIGMARE is a promotional product. Adam is a limited partner and devotes less than 10 hours a year. ?The Vertigo Group, LLC: Seattle's exclusive private cigar club located in the historic SODO district of Seattle about 5 hours a month. ?SPAMPROS, LLC is an online marketing and sales organization 10-20 hours per month. ?DROVY, LLC a real estate acquisition & holding company, less than 5 hours per month. ?Adam D Droker jointly owns a rental property in Pullman, Washington. ?President Bellevue Kiwanis Club 5-40 hours per month. ?Umpire for softball and little league seasonal up to 5 hours per month ?BellEast Little League Director of Fundraising up to 5 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam D Droker's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

April 1, 2011 - Present

WATERROCK GLOBAL ASSET MANAGEMENT

Office #1: 29 148th Ave Se, Bellevue, WA 98007

RIA

CRD#: 151309

Bellevue, WA

Past

June 1, 2009 - April 11, 2011

MORGAN STANLEY

RIA

CRD#: 149777

SEATTLE, WA

Past

June 1, 2009 - April 11, 2011

MORGAN STANLEY

CRD#: 149777

SEATTLE, WA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SEATTLE, WA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SEATTLE, WA

Past

March 16, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SEATTLE, WA

Past

March 16, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SEATTLE, WA

Past

April 13, 2005 - March 7, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SEATTLE, WA

Past

March 31, 2005 - March 7, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SEATTLE, WA

Past

August 10, 2004 - March 8, 2005

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/5/2021)

IAR

California
(4/10/2015)

IAR

Florida
(5/6/2016)

IAR

Oregon
(4/1/2011)

IAR

Washington
(4/1/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/12/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 10/17/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/9/2004

General Securities Representative Examination

Current Firm

WATERROCK GLOBAL ASSET MANAGEMENT

WATERROCK GLOBAL ASSET MANAGEMENT | WRGAM LLC | WATERROCK GLOBAL ASSET MANAGEMENT LLC

CRD#: 151309 / SEC#: 801-70531

RIA

Registered Investment Advisory firm - (3/8/2010 Terminated)

Arizona

Registered Investment Advisory firm - (5/5/2021 Approved)

California

Registered Investment Advisory firm - (4/10/2015 Approved)

Florida

Registered Investment Advisory firm - (5/6/2016 Approved)

Oregon

Registered Investment Advisory firm - (4/14/2010 Approved)

Washington

Registered Investment Advisory firm - (1/25/2010 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

29 148th Ave Se, Bellevue, WA 98007

Mailing Address

29 148th Ave Se, Bellevue, WA 98007

Phone number

(425) 698-1463

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	388
AUM (Assets Under Management)	$ 63,739,368

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Adam D. Droker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam D Droker's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 65

Date: 4/12/2005

Series 63

Date: 4/5/2005

Series 31

Date: 10/17/2008

Series 7

Date: 8/9/2004

Current Firm

WATERROCK GLOBAL ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WATERROCK GLOBAL ASSET MANAGEMENT

TRUST BUT VERIFY

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