TN
Thomas J. Neumann
DRAKE & ASSOCIATES
WAUKESHA, WI 53186
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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.
1. FOR PROFIT OR NOT FOR PROFIT: PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: LONG LAKE PROTECTION DISTRICT INVESTMENT RELATED: N ADDRESS OF BUSINESS:6419 HEG PARK RD, WIND LAKE, WI 53185 NATURE OF BUSINESS: BOARD DESIGNED TO MANAGE FEES, IMPROVE QUALITY OF LAKE COMPENSATION FOR ACTIVITY: N POSITION, TITLE, ASSOCIATION: BOARD MEMBER START DATE OF RELATIONSHIP: 11/1/2017 NUMBER OF HOURS DEVOTED: 3 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PARTICIPATE IN MEETINGS TO DISCUSS BUDGETING, ANNUAL FES, LAKE MGMT 2. Loft Financial Advisory Group, LLC; investment related: Yes; Location of the business: 20965 Crossroads Circle, Waukesha, WI 53186; Description of the business: Licensed insurance agent in the state of Wisconsin.; Position Title: Insurance Agent; Responsibilities Duties: Offer clients advice or insurance products.; Start date with business: 03/25/2019; Hours devoted to business during trading hours: 4; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 40.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Neumann'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®
NoneExperience
Current
April 3, 2019 - Present
DRAKE & ASSOCIATES, LLC
Office #1: 20965 Crossroads Circle, Waukesha, WI 53186RIA
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
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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
35
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,611 |
| AUM (Assets Under Management) | $ 418,750,691 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
