Paul Drake-stockard

DSA ASSET MANAGEMENT

Chandler, AZ

Some features on this profile are disabled

CRD#: 6416919

Professional summary

Paul Drake-stockard is a registered financial advisor currently at DSA ASSET MANAGEMENT, LLC located in Chandler, Arizona.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Paul has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Paul Drake-stockard'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®

None

Experience

Current

March 10, 2020 - Present

DSA ASSET MANAGEMENT, LLC

RIA

CRD#: 284185

Chandler, AZ

Past

February 13, 2020 - December 31, 2022

DSA ASSET MANAGEMENT, LLC

RIA

CRD#: 284185

CHANDLER, AZ

Past

February 5, 2018 - December 31, 2019

DSA ASSET MANAGEMENT, LLC

RIA

CRD#: 284185

HENDERSONVILLE, TN

Past

August 15, 2016 - December 31, 2017

DSA ASSET MANAGEMENT, LLC

RIA

CRD#: 284185

Nashville, TN

Past

January 6, 2015 - July 8, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RALSTON, NE

Past

December 16, 2014 - July 8, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RALSTON, NE

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
(3/10/2020)

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 66

Date: 1/6/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/8/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/2014

General Securities Representative Examination

Current Firm

DSA ASSET MANAGEMENT, LLC

DSA ASSET MANAGEMENT, LLC | NEXUS GLOBAL CAPITAL, LLC | NEXUS GLOBAL CAPITAL

CRD#: 284185 / SEC#:

Arizona

Registered Investment Advisory firm - (3/10/2020 Approved)

Nebraska

Registered Investment Advisory firm - (12/31/2017 Failure to Renew)

Nevada

Registered Investment Advisory firm - (12/31/2019 Failure to Renew)

Tennessee

Registered Investment Advisory firm - (12/31/2019 Failure to Renew)

Texas

Registered Investment Advisory firm - (12/31/2022 Failure to Renew)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Chandler, AZ

Mailing Address

1900 W Chandler Blvd. Ste 15-324, Chandler, AZ 85224

Phone number

(615) 474-0100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 7,000,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul Drake-stockard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Drake-stockard's CRS (Customer Relationship Summary).

Certified licenses

Experience

DSA ASSET MANAGEMENT, LLC

DSA ASSET MANAGEMENT, LLC

DSA ASSET MANAGEMENT, LLC

DSA ASSET MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/6/2015

SIE

Date: 7/8/2015

Series 7

Date: 12/16/2014

Current Firm

DSA ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DSA ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors