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Detailed Report
Registration History
201020122014201620182020202220242026IALAKE WATER ADVISORY, LLC (CRD# 327854)2023 - Present (1 year)BCAMBRIDGE INVESTMENT RESEARCH,... (CRD# 39543)2019 - 2023 (3 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2012 - 2019 (7 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2010 - 2012 (2 years)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2021 - 2023 (2 years)
Disclosure(s)
View By:
1/15/2016
Customer Dispute
Closed-No Action
License(s)

State Registrations

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Florida 9/10/2024
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New York 10/20/2023
Current Registration(s)
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LAKE WATER ADVISORY, LLC (CRD#:327854)
LAKEWOOD RANCH, FL
Registered with this firm since 10/20/2023
Previous Registration(s)
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 05/11/2021 - 10/30/2023 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) Syracuse, NY
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 12/02/2019 - 10/30/2023 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) Syracuse, NY
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 10/17/2012 - 12/05/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) SYRACUSE, NY
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 08/31/2010 - 10/05/2012 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) E SYRACUSE, NY
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.