JL
Jay W. Lake
AMUNI FINANCIAL
St. Petersburg, FL 33701
Some features on this profile are disabled
CRD#: 1602112
JL
Professional summary
Jay William Lake is a registered financial advisor currently at AMUNI FINANCIAL, INC. located in St. Petersburg, Florida.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Jay has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Jay William Lake's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jay William Lake's 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®
NoneExperience
Current
September 30, 2003 - Present
AMUNI FINANCIAL, INC.
Office #1: 720 Second Avenue South, St. Petersburg, FL 33701RIA
BD
CRD#: 8365
St. Petersburg, FL
Current
April 11, 1990 - Present
AMUNI FINANCIAL, INC.
Office #1: 720 Second Avenue South, St. Petersburg, FL 33701RIA
BD
CRD#: 8365
St. Petersburg, FL
Past
March 7, 1990 - May 2, 1990
FIVE X SECURITIES, LLC
BD
CRD#: 8193
OAKTON, VA
Past
August 4, 1989 - March 22, 1990
DOMINICK & DICKERMAN LLC
BD
CRD#: 7344
OLD GREENWICH, CT
Past
December 1, 1987 - November 15, 1988
SWINK & COMPANY, INC.
BD
CRD#: 7111
Past
February 26, 1987 - December 2, 1987
AMUNI FINANCIAL, INC.
BD
CRD#: 8365
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".
AMUNI FINANCIAL, INC.
AMERICAN MUNICIPAL SECURITIES, INC. | AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
RIA
Registered Investment Advisory firm - SEC (3/11/2021 Approved)Arkansas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (3/17/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Michigan
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/11/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (3/16/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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.RR
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
RR
Alabama(4/8/2003)
RR
Arizona(3/21/2023)
RR
California(10/29/1996)
RR
Colorado(9/26/2005)
RR
Delaware(8/28/2013)
RR
Florida(4/19/1990)
IAR
Florida(9/30/2003)
RR
Georgia(1/3/2011)
RR
Indiana(1/14/1998)
RR
Iowa(7/23/1997)
RR
Louisiana(6/25/2002)
RR
Maine(1/3/2006)
RR
Maryland(1/13/1997)
RR
Massachusetts(3/11/2005)
RR
Michigan(11/24/1999)
RR
Minnesota(1/18/2005)
RR
Mississippi(1/3/2011)
RR
Missouri(3/6/2003)
RR
New Jersey(10/29/1999)
RR
New York(6/19/1991)
RR
North Carolina(5/21/1992)
RR
Oregon(7/2/2020)
RR
Pennsylvania(10/20/2003)
RR
South Carolina(5/1/1992)
RR
Texas(1/9/2002)
RR
Virginia(3/3/1994)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AMUNI FINANCIAL, INC.
AMERICAN MUNICIPAL SECURITIES, INC. | AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
RIA
Registered Investment Advisory firm - SEC (3/11/2021 Approved)Arkansas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (3/17/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Michigan
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/11/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (3/16/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
720 Second Ave S., St Petersburg, FL 33701
Mailing Address
P.o. Box 11749, St. Petersburg, FL 33733-9680
Phone number
(727) 825-0522
Established
Florida since 08/18/1980
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
21
SEC notice filing (14 States and Territories)
FINRA licenses (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 274 |
| AUM (Assets Under Management) | $ 159,700,000 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 06/13/2023 |
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.
