Richard K. Martino

CARNEGIE LAKE ADVISORS LLC

Princeton, NJ 08540

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CRD#: 1012919

Professional summary

Richard Keith Martino is a registered financial advisor currently at CARNEGIE LAKE ADVISORS LLC located in Princeton, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Richard has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 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.

04/15/1998 HIGHLANDER CAPITAL MANAGEMENT, LLC. A SEC REGISTERED INVESTMENT ADVISORY FIRM ADDRESS: 535 MILLBURN AVENUE SHORT HILLS, NJ 07078 TITLE: DIRECTOR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Keith Martino'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

March 25, 2024 - Present

CARNEGIE LAKE ADVISORS LLC

Office #1: 100 Overlook Center 2nd Floor, Princeton, NJ 08540

RIA

CRD#: 330024

Princeton, NJ

Past

June 2, 2004 - July 17, 2024

HIGHLANDER CAPITAL MANAGEMENT LLC

RIA

CRD#: 106667

SHORT HILLS, NJ

Past

December 8, 1993 - September 21, 2023

HIGHLANDER CAPITAL GROUP, INC.

CRD#: 19074

SHORT HILLS, NJ

Past

October 29, 1991 - November 30, 1993

KENNETH, JEROME & CO.,INC.

CRD#: 15541

FLORHAM PK, NJ

Past

June 19, 1989 - October 29, 1991

L.C. WEGARD & CO., INC.

CRD#: 3722

NEW YORK, NY

Past

September 24, 1985 - May 4, 1989

MICHAEL A WEISSER, INC.

CRD#: 7069

Past

November 15, 1981 - September 3, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

November 15, 1981 - September 3, 1985

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

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".

CARNEGIE LAKE ADVISORS LLC

CRD#: 330024 / SEC#: 801-129720

RIA

Registered Investment Advisory firm - (3/22/2024 Approved)

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

New Jersey
(4/30/2024)

IAR

Texas
(3/25/2024)

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: 3/16/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/27/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/15/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/16/1998

General Securities Principal Examination

Current Firm

CARNEGIE LAKE ADVISORS LLC

CRD#: 330024 / SEC#: 801-129720

RIA

Registered Investment Advisory firm - (3/22/2024 Approved)

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Contact information

Main Address

100 Overlook Center 2nd Floor, Princeton, NJ 08540

Mailing Address

Phone number

(609) 955-3667

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

20250625 CLA ADV PART 2A (6/27/2025)

Regulatory assets under management

Total Number of Accounts	431
AUM (Assets Under Management)	$ 374,441,960

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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Firm Stability Insights

Richard K. Martino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Keith Martino's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHLANDER CAPITAL MANAGEMENT LLC

HIGHLANDER CAPITAL GROUP, INC.

KENNETH, JEROME & CO.,INC.

L.C. WEGARD & CO., INC.

MICHAEL A WEISSER, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

Primary Firm SEC Registration

CARNEGIE LAKE ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/1990

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1985

Series 22

Date: 7/27/1983

Series 6

Date: 10/15/1981

Series 24

Date: 10/16/1998

Current Firm

CARNEGIE LAKE ADVISORS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARNEGIE LAKE ADVISORS LLC

TRUST BUT VERIFY

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