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Detailed Report
THOMAS JOSEPH NEUMANN
THOMAS NEUMANN
CRD#: 5018758
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Investment Adviser
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Previous Broker
DRAKE & ASSOCIATES, LLCCRD#: 154854 20965 CROSSROADS CIRCLE
WAUKESHA, WI 53186
Registration History
200620082010201220142016201820202022202420262 FIRMS2017 - 2018 (<1 year)2 FIRMS2018 - 2019 (<1 year)IADRAKE & ASSOCIATES, LLC (CRD# 154854)2019 - Present (6 years)BWELLS FARGO FUNDS DISTRIBUTOR, LLC (CRD# 133366)2005 - 2010 (4 years)IAWELLS FARGO FUNDS MANAGEMENT, LLC (CRD# 110841)2010 - 2010 (<1 year)
License(s)

State Registrations

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Wisconsin 4/3/2019
Current Registration(s)
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DRAKE & ASSOCIATES, LLC (CRD#:154854)
20965 CROSSROADS CIRCLE, WAUKESHA, WI 53186
Registered with this firm since 4/3/2019
Previous Registration(s)
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 07/31/2018 - 03/26/2019 HUNTINGTON FINANCIAL ADVISORS (CRD#:16986) JEFFERSON, WI
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 07/31/2018 - 03/26/2019 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) JEFFERSON, WI
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 10/23/2017 - 04/17/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PEWAUKEE, WI
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 10/02/2017 - 04/17/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PEWAUKEE, WI
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 02/10/2010 - 03/23/2010 WELLS FARGO FUNDS MANAGEMENT, LLC (CRD#:110841) MENOMONEE FALLS, WI
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 09/21/2005 - 03/23/2010 WELLS FARGO FUNDS DISTRIBUTOR, LLC (CRD#:133366) MENOMONEE FALLS, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.