Thomas Joseph Neumann
Investment adviser representative at Drake & Associates, LLC
13 yearsExperience
1 stateRegistered in
$607.3MFirm assets
7 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourly
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
13 years in the industry.
- Drake & Associates, LLCApr 2019 to now
- Huntington Investment CompanyJul 2018 to Apr 2019
- UnemployedApr 2018 to Jul 2018
- Wells Fargo Clearing Services, LLCAug 2017 to Jul 2018
- Wells Fargo BankAug 2017 to Apr 2018
- Wells Capital ManagementJul 2013 to Aug 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2005
- Series 65 · Uniform Investment Adviser Law2009
- Series 66 · Uniform Combined State Law2017
State registrations
Registered as an investment adviser representative in 1 state (WI).
Drake & Associates, LLC
$607.3MAssets managed
3,401Clients
17Advisers
7 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5018758
- Firm CRD
- 154854