Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid M. Lake is a financial professional with over 14 years of experience in the industry. David is currently registered with KPMG Corporate Finance LLC and is licensed in 34 states and the District of Columbia. David has passed multiple securities exams including the Series 7, 79, 79TO, 82TO and SIE. Prior to joining KPMG Corporate Finance LLC, David worked at Sterne, Agee & Leach, Inc. and Citigroup Global Markets Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
IL
05/17/2023 - Present
Kpmg Corporate Finance LLC (CHICAGO IL)
NY
06/22/2010 - 09/14/2012
STERNE, AGEE & LEACH, INC. (NEW YORK NY)
NY
09/25/2008 - 02/05/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 06/22/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/07/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 05/17/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 04/28/2023
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/23/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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