Daniel G. Bennett

LAKE WATER ADVISORY

Skaneateles, NY

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CRD#: 5712472

Professional summary

Daniel Gerard Bennett is a registered financial advisor currently at LAKE WATER ADVISORY, LLC located in Skaneateles, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Daniel has worked at 5 firms and has passed the Series 63, Series 7TO, SIE 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) DANIEL BENNETT, 62 WEST ELIZABETH ST, SKANEATELES, NY, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 12/01/19, NIR, 10/WK- 0/TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Gerard Bennett'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

October 20, 2023 - Present

LAKE WATER ADVISORY, LLC

RIA

CRD#: 327854

Skaneateles, NY

Past

May 11, 2021 - October 30, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Syracuse, NY

Past

December 2, 2019 - October 30, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Syracuse, NY

Past

October 17, 2012 - December 5, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

SYRACUSE, NY

Past

August 31, 2010 - October 5, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

E SYRACUSE, NY

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.

Highlighted states indicate IAR registrations

IAR

Florida
(9/10/2024)

IAR

New York
(10/20/2023)

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.

Exams

State Security Law Exam

Series 63

Date: 2/28/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/13/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/30/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LAKE WATER ADVISORY, LLC

LAKE WATER ADVISORY, LLC | LAKE WATER CAPITAL, LLC | LAKE WATER CAPITAL

CRD#: 327854 / SEC#: 801-128886

RIA

Registered Investment Advisory firm - (2/25/2025 Terminated)

Florida

Registered Investment Advisory firm - (12/2/2024 Approved)

New York

Registered Investment Advisory firm - (1/22/2025 Approved)

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

Sarasota, FL

Mailing Address

Phone number

(315) 730-7432

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	346
AUM (Assets Under Management)	$ 60,539,826

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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Daniel G. Bennett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Gerard Bennett's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAKE WATER ADVISORY, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/28/2011

Series 7TO

Date: 11/13/2019

SIE

Date: 10/1/2018

Series 6

Date: 8/30/2010

Current Firm

LAKE WATER ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LAKE WATER ADVISORY, LLC

TRUST BUT VERIFY

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