Colin C. Lake

CLARENDON INSURANCE AGENCY

Waltham, MA 02451

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CRD#: 2717313

Professional summary

Colin C Lake, CIMA®, who also goes by Colin Christopher Lake, is a registered financial professional currently at CLARENDON INSURANCE AGENCY, INC. located in Waltham, Massachusetts.

Colin is registered as a RR (Registered Representative) and started their career in finance in 1996. Colin has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Colin Christopher 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 Colin C 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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

October 17, 2023 - Present

CLARENDON INSURANCE AGENCY, INC.

Office #1: 230 3rd Ave 6th Floor, Waltham, MA 02451

CRD#: 7395

Waltham, MA

Past

April 3, 2017 - November 1, 2018

CV BROKERAGE, INC

CRD#: 462

WILLIAMSTOWN, NJ

Past

June 2, 2014 - July 29, 2016

RS FUNDS DISTRIBUTOR LLC

CRD#: 165753

Marlborough, MA

Past

December 16, 2008 - June 2, 2014

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

VILLANOVA, PA

Past

April 1, 1996 - December 2, 2008

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

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

Alabama
(11/27/2023)

Alaska
(12/12/2023)

Arkansas
(11/27/2023)

California
(11/15/2023)

Colorado
(11/27/2023)

Connecticut
(11/14/2023)

Delaware
(11/27/2023)

District of Columbia
(11/30/2023)

Georgia
(11/16/2023)

Hawaii
(12/26/2023)

Idaho
(11/15/2023)

Illinois
(4/15/2024)

Indiana
(11/27/2023)

Iowa
(11/17/2023)

Kansas
(11/28/2023)

Kentucky
(11/28/2023)

Louisiana
(11/28/2023)

Maine
(11/15/2023)

Maryland
(11/29/2023)

Massachusetts
(11/27/2023)

Michigan
(12/1/2023)

Minnesota
(11/27/2023)

Mississippi
(11/27/2023)

Missouri
(11/15/2023)

Montana
(11/16/2023)

Nebraska
(11/17/2023)

Nevada
(11/27/2023)

New Hampshire
(12/1/2023)

New Jersey
(11/28/2023)

New Mexico
(11/28/2023)

New York
(12/14/2023)

North Carolina
(11/15/2023)

North Dakota
(11/27/2023)

Ohio
(11/14/2023)

Oklahoma
(11/27/2023)

Oregon
(11/14/2023)

Pennsylvania
(11/15/2023)

Rhode Island
(11/20/2023)

South Carolina
(11/29/2023)

South Dakota
(11/27/2023)

Tennessee
(11/28/2023)

Texas
(11/16/2023)

Utah
(11/15/2023)

Vermont
(11/27/2023)

Virginia
(12/4/2023)

Washington
(11/27/2023)

West Virginia
(12/11/2023)

Wisconsin
(11/20/2023)

Wyoming
(11/27/2023)

Exams

State Security Law Exam

Series 63

Date: 10/13/2023

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: 4/7/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/29/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/22/2023

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CLARENDON INSURANCE AGENCY, INC.

CLARENDON INSURANCE AGENCY, INC. | GEORGE E. MADEN | EMAC TRADING LLC

CRD#: 7395 / SEC#: , 8-21590

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

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Contact information

Main Address

230 3rd Ave 6th Floor, Waltham, MA 02451

Mailing Address

230 3rd Ave 6th Floor, Waltham, MA 02451

Phone number

(781) 790-8600

Established

Massachusetts since 03/04/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DELAWARE LIFE INSURANCE COMPANY	SOLE SHAREHOLDER
BLOOM, MICHAEL SCOTT	DIRECTOR & SECRETARY	5200070
CAREY, ELIZABETH	CHIEF COMPLIANCE OFFICER	4889080
JOSEPH, JAMES	FINANCIAL AND OPERATIONS PRINCIPAL	6576566
LAKE, COLIN C	PRESIDENT AND DIRECTOR	2717313
WANG, FANG LINDA	DIRECTOR	7675208

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

Colin C. Lake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Colin C Lake's CRS (Customer Relationship Summary).

Certified licenses

Experience

CV BROKERAGE, INC

RS FUNDS DISTRIBUTOR LLC

GUARDIAN INVESTOR SERVICES LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/13/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/7/2016

Series 6

Date: 3/29/1996

Series 26

Date: 12/22/2023

FINRA

Current Firm

CLARENDON INSURANCE AGENCY, INC.

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CLARENDON INSURANCE AGENCY, INC.

TRUST BUT VERIFY

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