Our Qualifications

 

David Lake

David has been involved in the securities industry since he graduated from the University of Wisconsin - Milwaukee in 1986. He worked as a floor trader in his early career at the Chicago Board of Options Exchange (CBOE). In 1989 David became a registered representative at The New England. Mr. Lake held the title registered representative until 2010, working for broker-dealers Dempsey Financial and Harbour Investments, Inc. In 2010, Mr. Lake's company, Capital Wealth Advisors, LLC, became a state-registered RIA. In September 2015, he co-founded RIA Services, LLC and acts as Chief Compliance Officer and Investment Advisor.

Certifications/Accreditations

  • B.B.A - Finance
  • FINRA Series 7
  • Series 63 & 65

 

Mike Ajango, CFP

Mike has owned WealthPlan LLC since 1991, which offers investment advisory and brokerage services through Harbour Investments, Inc., where he has been registered since 1993. Mike started in the financial services industry in 1983 and has been a Certified Financial Planner since 1988. Mr. Ajango has also held positions with Canada Life of America Financial Services, Inc., Aetna Life Insurance and Annuity Company, and Monarch Securities, Inc.

Certifications/Accreditations

  • B.A. - UW-Whitewater 1978 (m.c.l.)
  • FINRA Series 6
  • Series 62, 63, & 65
  • Life/Health license
  • Certified Financial Planner (CFP)