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TN

Thomas J. Neumann

DRAKE & ASSOCIATES
WAUKESHA, WI 53186
Some features on this profile are disabled
CRD#: 5018758
TN

Professional summary

Thomas Joseph Neumann, who also goes by Thomas Neumann, is a registered financial advisor currently at DRAKE & ASSOCIATES, LLC located in Waukesha, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Thomas has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Neumann

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Neumann's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 3, 2019 - Present

DRAKE & ASSOCIATES, LLC

Office #1: 20965 Crossroads Circle, Waukesha, WI 53186
RIA
CRD#: 154854
WAUKESHA, WI
Past

July 31, 2018 - March 26, 2019

THE HUNTINGTON INVESTMENT COMPANY

RIA
CRD#: 16986
JEFFERSON, WI
Past

July 31, 2018 - March 26, 2019

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
JEFFERSON, WI
Past

October 23, 2017 - April 17, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PEWAUKEE, WI
Past

October 2, 2017 - April 17, 2018

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PEWAUKEE, WI
Past

February 10, 2010 - March 23, 2010

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
MENOMONEE FALLS, WI
Past

September 21, 2005 - March 23, 2010

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
MENOMONEE FALLS, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
D&
DRAKE & ASSOCIATES, LLC
DRAKE & ASSOCIATES, LLC | DRAKE WEALTH MANAGEMENT, LLC | DRAKE INVESTMENTS, LLC

CRD#: 154854 / SEC#: 801-115301

RIA
Registered Investment Advisory firm - (5/16/2019 Approved)
Michigan
Registered Investment Advisory firm - (12/3/2018 Terminated)
Texas
Registered Investment Advisory firm - (5/20/2019 Terminated)
Wisconsin
Registered Investment Advisory firm - (5/20/2019 Terminated)

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
Wisconsin
(4/3/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/23/2017
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/6/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/29/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/19/2008
General Securities Principal Examination

Current Firm

D&
DRAKE & ASSOCIATES, LLC
DRAKE & ASSOCIATES, LLC | DRAKE WEALTH MANAGEMENT, LLC | DRAKE INVESTMENTS, LLC

CRD#: 154854 / SEC#: 801-115301

RIA
Registered Investment Advisory firm - (5/16/2019 Approved)
Michigan
Registered Investment Advisory firm - (12/3/2018 Terminated)
Texas
Registered Investment Advisory firm - (5/20/2019 Terminated)
Wisconsin
Registered Investment Advisory firm - (5/20/2019 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
20965 Crossroads Circle, Waukesha, WI 53186
Mailing Address
Phone number
(414) 409-7226
Established
Firm type
Fiscal year end
# of Employees
34

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DRAKE 2A BROCHURE (3/17/2026)

Regulatory assets under management

Total Number of Accounts3,401
AUM (Assets Under Management)$ 607,255,901

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.

Company Information

DRAKE & ASSOCIATES, LLC

CRD#: 154854Waukesha, WI 53186

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