Laura E. Lake
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Laura Elizabeth Lake, who also goes by Laura Elizabeth Jeff, Laura E Neff, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1997. Laura had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2018 - January 28, 2021
BRECKINRIDGE CAPITAL ADVISORS INC
November 28, 1997 - June 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BRECKINRIDGE CAPITAL ADVISORS INC
CRD#: 107143 / SEC#: 801-43833
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BRECKINRIDGE CAPITAL ADVISORS INC
CRD#: 107143 / SEC#: 801-43833
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,559 |
| AUM (Assets Under Management) | $ 50,989,726,048 |
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.
