David Alan Lakis | Financial Professional | Fort Pierce, Florida

Professional summary

David Alan Lakis is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in Fort Pierce, Florida and CABOT LODGE SECURITIES LLC located in Fort Pierce, Florida.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. David has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) LAKIS INVESTMENTS INC. OWNER- INDEPENDENT INSURANCE AGENT INCLUDING EQUITY INDEXED ANNUITIES,LIFE/HEALTH INSURANCE, AND LONG TERM CARE INSURANCE. 2207 CHALLENGE ROAD RALEIGH, NC 27603. START DATE 11/7/1997. 8 HOURS/MONTH DURING SECURITIES HOURS, 8 HOURS AFTER HOURS. 2) David A. Lakis - WPS Medical Supplements (Direct at WPS) Insurgency Agency through Cygniak Planning Inc., Investment Related, Raleigh, NC,selling medicare supplement insurance, life insurance, long term insurance, variable annuities, EIA's and fixed annuities, Insurance Agent, 11/1998, 8 hours per month, 8 hours during trading hours, working with the client to provide comprehensive retirement plan, working with organizations to complete the appropriate paperwork, completing the continuing education credits to meet the State requirement to sell insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Lakis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 16, 2022 - Present

CL WEALTH MANAGEMENT LLC

Office #1: 9631 Knollwood Lane, Fort Pierce, FL 34951

BD

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Florida
(12/1/2020)

IAR

Florida
(8/31/2022)

RR

Texas
(8/29/2024)

RR

Wisconsin
(9/23/2019)

IAR

Wisconsin
(8/16/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Current Firm

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173

Mailing Address

Phone number

(212) 388-6200

Established

Firm type

Fiscal year end

# of Employees

42

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 2-25-25 (2/25/2025)

Regulatory assets under management

Total Number of Accounts	2,073
AUM (Assets Under Management)	$ 628,729,517

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David A. Lakis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Lakis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

SB ADVISORY, LLC

CABOT LODGE SECURITIES LLC

SB ADVISORY, LLC

IFS SECURITIES

PACKERLAND BROKERAGE SERVICES, INC.

PACKERLAND BROKERAGE SERVICES, INC.

HARBOUR INVESTMENTS, INC.

HARBOUR INVESTMENTS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

HARBOUR INVESTMENTS, INC.

HARBOUR INVESTMENTS, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/2/2007

Series 63

Date: 1/5/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/17/2000

Series 6

Date: 2/4/1997

FINRA

Current Firm

CL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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