Jonathan R. Lake

FOUR POINTS CAPITAL PARTNERS LLC

New York, NY 10016

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CRD#: 1385504

Professional summary

Jonathan Richard Lake, who also goes by Jon Lake, is a registered financial professional currently at FOUR POINTS CAPITAL PARTNERS LLC located in New York, New York.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1986. Jonathan has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon Lake

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Richard Lake'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 4, 2021 - Present

FOUR POINTS CAPITAL PARTNERS LLC

Office #1: 99 Park Avenue Suite 810, New York, NY 10016

CRD#: 36485

WESTPORT, CT

Past

January 6, 1997 - November 17, 2000

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

July 29, 1993 - January 9, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 14, 1987 - August 10, 1993

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

April 23, 1986 - December 2, 1987

LEBENTHAL & CO., INC.

CRD#: 6490

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/18/2021)

California
(4/22/2021)

Connecticut
(6/10/2021)

Illinois
(6/9/2025)

New York
(6/15/2021)

Ohio
(10/7/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/20/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/21/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FOUR POINTS CAPITAL PARTNERS LLC

AURORA FINANCIAL SERVICES, L.L.C. | HAYDEN & ASSOCIATES | FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149 / SEC#: , 8-50162

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450

Mailing Address

55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450

Phone number

(212) 257-5240

Established

Texas since 07/23/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
5M HOLDINGS LLC	MANAGING MEMBER
GRAY, JOHN CLARKE	CHIEF FINANCIAL OPERATIONS OFFICER / CFO	1367440
MARTINO, MICHAEL CHRISTOPHER	CHIEF EXECUTIVE OFFICER	2579146
MURPHY, GENE RYAN	CHIEF OPERATIONS OFFICER	4739772
TOOKE, JEFFREY A	CHIEF COMPLIANCE OFFICER, AMLCO	5621579

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Jonathan R. Lake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Richard Lake's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CORBY CAPITAL MARKETS, INC.

CORBY CAPITAL MARKETS, INC.

CONSTITUTION CAPITAL CORP.

CONSTITUTION CAPITAL CORP.

MERIT CAPITAL ASSOCIATES, INC.

PRUDENTIAL EQUITY GROUP, LLC

TUCKER ANTHONY INCORPORATED

LEBENTHAL & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2002

Series 63

Date: 7/10/1986

SIE

Date: 10/1/2018

Series 3

Date: 11/20/1995

Series 7

Date: 4/19/1986

Series 24

Date: 10/21/1998

FINRA

Current Firm

FOUR POINTS CAPITAL PARTNERS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FOUR POINTS CAPITAL PARTNERS LLC

TRUST BUT VERIFY

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