Kenneth Roger Lake

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2018 → 09/2019
  Kindred Hospice
  Rock Hill, SC
• 04/2008 → 04/2018
  Pruitthealth
  Columbia, SC
• 01/2017 → 09/2018
  University Of Maryland
  College Park, MD
• 05/2019 → 01/2023
  New York Life Insurance Co.
  Charlotte, NC
• 10/2019 → 01/2023
  Nylife Securities, Llc
  Charlotte, NC
• 01/2023 → 09/2023
  Guardian Life Insurance Company
  Charlotte, NC
• 01/2023 → 09/2023
  Park Avenue Securities
  Charlotte, NC
• 09/2023 → 07/2024
  Hornor, Townsend & Kent, Llc
  Horsham, PA
• 08/2023 → 07/2024
  Penn Mutual Life Insurance Company
  Horsham, PA
• 07/2026 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 07/2026 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 05/2025 → 07/2026
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 09/2024 → 05/2025
  Via Health Partners
  Charlotte, NC

Previous Registrations

• 2023-09-05 → 2024-08-01
  Hornor, Townsend & Kent, Llc
  Concord, NC
  Fort Mill, SC
• 2023-02-16 → 2023-09-15
  Park Avenue Securities Llc
  Charlotte, NC

Other Businesses

1) VALTA, INC., 2810 Coliseum Centre Drive, Suite 110, Charlotte, NC 28217, 08/2026, W2 Employee, DBA Name, INV REL, 160 HR/MO, 130 HR/MO TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-02-13
• S63 Uniform Securities Agent State Law Examination
  2020-03-17

Designations

• Chartered Financial Consultant

Other Names

• Kenneth Roger Lake
• Kenneth Roger Lake
• Ken Lake