BA
Bradley M. Allen
DRAKE & ASSOCIATES
WAUKESHA, WI 53186
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CRD#: 6609021
BA
Professional summary
Bradley Michael Allen, who also goes by Brad Allen, Bradley Allen, is a registered financial advisor currently at DRAKE & ASSOCIATES, LLC located in Waukesha, Wisconsin.
Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Bradley has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Allen | Bradley Allen
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.
Loft Financial Advisory Group, LLC; investment related: Yes; Location of the business: 2212 E. Moreland Blvd., Suite 200 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 Bradley Michael Allen'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
July 3, 2017 - Present
DRAKE & ASSOCIATES, LLC
Office #1: 20965 Crossroads Circle, Waukesha, WI 53186RIA
CRD#: 154854
WAUKESHA, 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(7/3/2017)
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
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.
