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Thomas Joseph Neumann

Drake & Associates, LLC

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About Thomas Joseph Neumann

Thomas Neumann is an investment advisor representative with Drake & Associates, LLC. Thomas is a licensed insurance agent in Wisconsin and offers clients advice on insurance products. Thomas has been working in the financial services industry since 2005. Thomas is a Registered Investment Advisor in Wisconsin. Thomas has experience working with both individuals and high-net-worth clients. Thomas has a Series 7, Series 63, Series 65, and Series 66 license and offers financial planning and portfolio management services.

Firm Information

Thomas Neumann is currently registered with Drake & Associates, LLC. Drake & Associates, LLC is a financial advisory firm based in Waukesha, Wisconsin. They offer financial planning, educational seminars, selection of other advisors, and portfolio management for individuals. They have a total of 2,332 accounts with $313,071,682 in assets under management. They primarily serve high-net-worth individuals and individuals other than high-net-worth.
Drake & Associates, LLC

20965 CROSSROADS CIRCLE

WAUKESHA, WI 53186

$313.07M

Assets Under Management

Not reported

Total Clients

12

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Neumann’s Registration & Firm History

WI

04/03/2019 - Present

Drake & Associates, LLC (WAUKESHA WI)

WI

07/31/2018 - 03/26/2019

THE HUNTINGTON INVESTMENT COMPANY (JEFFERSON WI)

WI

10/02/2017 - 04/17/2018

WELLS FARGO CLEARING SERVICES, LLC (PEWAUKEE WI)

WI

09/21/2005 - 03/23/2010

WELLS FARGO FUNDS DISTRIBUTOR, LLC (MENOMONEE FALLS WI)

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Licenses & Designations

BOTH

Issued 10/23/2017

Series 66 - Uniform Combined State Law Examination

IA

Issued 11/06/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/29/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/19/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/02/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Thomas Joseph Neumann.
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