Thomas Joseph Neumann

Current Employers

Employment History

• 07/2013 → 08/2017
  Wells Capital Management
  Menomonee Falls, WI
• 08/2017 → 04/2018
  Wells Fargo Bank
  Pewaukee, WI
• 08/2017 → 07/2018
  Wells Fargo Clearing Services, Llc
  Pewaukee, WI
• 07/2018 → 04/2019
  Huntington Investment Company
  Jefferson, WI
• 04/2019 → Present
  Drake & Associates, Llc
  Waukesha, WI
• 04/2018 → 07/2018
  Unemployed
  N/A, WI

Previous Registrations

• 2018-07-31 → 2019-03-26
  The Huntington Investment Company
  Jefferson, WI
• 2017-10-23 → 2018-04-17
  Wells Fargo Clearing Services, Llc
  Pewaukee, WI
  Milwaukee, WI
• 2010-02-10 → 2010-03-23
  Allspring Funds Management, Llc
  Menomonee Falls, WI

Other Businesses

1. FOR PROFIT OR NOT FOR PROFIT: PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: LONG LAKE PROTECTION DISTRICT INVESTMENT RELATED: N ADDRESS OF BUSINESS:6419 HEG PARK RD, WIND LAKE, WI 53185 NATURE OF BUSINESS: BOARD DESIGNED TO MANAGE FEES, IMPROVE QUALITY OF LAKE COMPENSATION FOR ACTIVITY: N POSITION, TITLE, ASSOCIATION: BOARD MEMBER START DATE OF RELATIONSHIP: 11/1/2017 NUMBER OF HOURS DEVOTED: 3 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PARTICIPATE IN MEETINGS TO DISCUSS BUDGETING, ANNUAL FES, LAKE MGMT 2. 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.

Exams

• S66 Uniform Combined State Law Examination
  2017-10-23
• S65 Uniform Investment Adviser Law Examination
  2009-11-06
• S63 Uniform Securities Agent State Law Examination
  2005-09-29

Other Names

• Thomas Joseph Neumann
• Thomas Neumann