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PD

Paul Drake-stockard

DSA ASSET MANAGEMENT
Chandler, AZ
Some features on this profile are disabled
CRD#: 6416919
PD

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

BD
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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/6/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/8/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2014
General Securities Representative Examination

Current Firm

DA
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)
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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
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts32
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.

Company Information

DSA ASSET MANAGEMENT, LLC

CRD#: 284185Chandler, AZ

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