Carson J. Biber

DRAKE & ASSOCIATES

WAUKESHA, WI 53186

CRD#: 7254053

Professional summary

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

Carson is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Carson has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carson Biber

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: 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carson Joseph Biber'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

October 10, 2024 - Present

DRAKE & ASSOCIATES, LLC

Office #1: 20965 Crossroads Circle, Waukesha, WI 53186

RIA

CRD#: 154854

WAUKESHA, WI

Past

March 18, 2024 - October 2, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

WEST BEND, WI

Past

March 18, 2024 - October 2, 2024

LPL FINANCIAL LLC

CRD#: 6413

WEST BEND, WI

Past

August 21, 2023 - April 1, 2024

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Charlotte, NC

Past

July 18, 2022 - April 1, 2024

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(10/10/2024)

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: 8/22/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/18/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/2/2021

Securities Industry Essentials Examination

Current Firm

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)

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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

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DRAKE 2A BROCHURE (4/14/2025)

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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Carson J. Biber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carson Joseph Biber's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

DRAKE & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2022

Series 7TO

Date: 7/18/2022

SIE

Date: 8/2/2021

Current Firm

DRAKE & ASSOCIATES, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DRAKE & ASSOCIATES, LLC

TRUST BUT VERIFY

Contact information

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