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Adam D Droker

Other Names: Adam David Droker
Firm:
Waterrock Global Asset Management
Type: RIA
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Description

Adam Droker a financial professional at Waterrock Global Asset Management, a $15M dollar RIA. Adam has held an industry securities registration for 8 years and is subject to SEC oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Adam D Droker has not answered any questions on Financial Q&A.

Top Guides

Adam D Droker has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Morgan Stanley Smith Barney 3 years, 11 months Jun 2009 - Present
Morgan Stanley & Co., Incorporated 6 years, 1 month Apr 2007 - Present
Morgan Stanley Dw, Inc. 1 month Mar 2007 - Apr 2007
Merrill Lynch, Pierce, Fenner & Smith Incorporated 2 years Mar 2005 - Mar 2007
Waddell and Reed, Inc. 7 months Jul 2004 - Feb 2005
JDS 1 month Jul 2003 - Aug 2003
Joyce L Bloch CFP 2 years, 1 month Jun 2001 - Jul 2003
Various Insurance Carriers 4 years, 8 months Jun 2000 - Feb 2005
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/11/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
04/11/2011
09/02/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Futures Managed Funds Examination Series 31 10/17/2008
Uniform Investment Adviser Law Examination Series 65 04/12/2005
Uniform Securities Agent State Law Examination Series 63 04/05/2005
General Securities Representative Examination Series 7 08/09/2004

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Subscription Fees
  • Fixed Fees
  • Other: (6) Performance-based fees