Unclaimed Profile

David Scott Lake

RIA SERVICES, LLC·WEST BEND, Wisconsin

Series 7, Series 63, Series 6627 years registeredRIA SERVICES, LLC

1755 W. PARADISE DR., WEST BEND, WI 53095CRD# 1638504Firm CRD# 281520

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Scott Lake · WEST BEND, WI

Registration

CRD #1638504 · RIA SERVICES, LLC · 27 years registered

Brand Profile

Not yet started

Career History

CWP PRIVATE WEALTH MANAGEMENT

Sep 2015 – present

CAPITAL WEALTH ADVISORS, LTD.

Oct 2010 – present

WISCONSIN WEALTH ADVISORS, LLC

Dec 2008 – Nov 2010

WEST BEND, WI

HARBOUR INVESTMENTS, INC.

Mar 1999 – Nov 2010

WEST BEND, WI

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 66

Registration record

First registered · March 10, 1999

Years registered · 27

Disclosure History

2004Customer Dispute·Closed-No Action

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

RIA SERVICES, LLC

CRD 281520 · SEC 801-120760

AUM

$206M

Regulatory assets under management

Employees

1,006 client accounts

Services offered by RIA SERVICES, LLC

Per Form ADV

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

View all advisors at RIA SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does David Scott Lake offer?

David Scott Lake specializes in Investment Management. Contact their office in WEST BEND, Wisconsin for a consultation.

What are David Scott Lake's credentials?

David Scott Lake is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Scott Lake located?

David Scott Lake is based in WEST BEND, Wisconsin, working with RIA SERVICES, LLC. Their office serves clients in the WEST BEND metropolitan area and surrounding communities.

How does David Scott Lake charge for services?

David Scott Lake's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RIA SERVICES, LLC?

RIA SERVICES, LLC has approximately 3 employees and manages $206M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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