JL
Joel W. Lake
JMF CAPSTONE WEALTH MANAGEMENT
Tuscaloosa, AL 35401
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CRD#: 6261468
JL
Professional summary
Joel William Lake is a registered financial advisor currently at JMF CAPSTONE WEALTH MANAGEMENT located in Tuscaloosa, Alabama.
Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Joel has worked at 2 firms and has passed the Series 65 exam.
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.
JAMISONMONEYFARMER, NON-INVESTMENT RELATED, 2200 JACK WARNER PKWY, NE, SUITE 300, TUSCALOOSA, AL 35401 SHAREHOLDER AND CPA, START DATE 8/1992. 20% OF BUSINESS TIME IS DEVOTED TO THE ACCOUNTING PRACTICE. JMF TECHNOLOGIES, LLC., NON-INVESTMENT RELATED, 2200 JACK WARNER PKWY, TUSCALOOSA, AL 35401, SHAREHOLDER, START DATE 1/1/2019, COMMON OWNERSHIP WITH JMF PC, JMF BUILDING, LLC AND JMF WEALTH MANAGEMENT, LLC, 10 HOURS PER MONTH, USUALLY DURING TRADING HOURS, NO SPECIFIC DUTIES OTHER THAN OVERSIGHT. JMF BUILDING, LLC, NON-INVESTMENT RELATED, 2200 JACK WARNER PKWY, TUSCALOOSA, AL 35401, MEMBER, START DATE 1/1/2019, COMMON OWNERSHIP WITH JMF PC, JMF TECHNOLOGIES, LLC AND JMF WEALTH MANAGEMENT, LLC, LESS THAN 1 HOUR PER MONTH, USUALLY DURING TRADING HOURS, NO SPECIFIC DUTIES.
CRS (Client Relationship Summary) - RIA
Click below to view Joel 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
March 5, 2014 - Present
JMF CAPSTONE WEALTH MANAGEMENT
Office #1: 2200 Jack Warner Parkway, Ne Suite 300, Tuscaloosa, AL 35401RIA
CRD#: 118296
Tuscaloosa, AL
Past
January 14, 2014 - December 31, 2015
JMF WEALTH MANAGEMENT, LLC
RIA
CRD#: 167484
TUSCALOOSA, AL
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".
JC
JMF CAPSTONE WEALTH MANAGEMENT
CAPSTONE INVESTMENT MANAGEMENT, LLC | JMF CAPSTONE WEALTH MANAGEMENT | CAPSTONE WEALTH MANAGEMENT, LLC
CRD#: 118296 / SEC#: 801-107846
RIA
Registered Investment Advisory firm - (6/10/2016 Approved)Alabama
Registered Investment Advisory firm - (6/30/2016 Terminated)Texas
Registered Investment Advisory firm - (6/10/2016 Terminated)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
Alabama(3/5/2014)
IAR
Texas(5/13/2015)
Current Firm
JC
JMF CAPSTONE WEALTH MANAGEMENT
CAPSTONE INVESTMENT MANAGEMENT, LLC | JMF CAPSTONE WEALTH MANAGEMENT | CAPSTONE WEALTH MANAGEMENT, LLC
CRD#: 118296 / SEC#: 801-107846
RIA
Registered Investment Advisory firm - (6/10/2016 Approved)Alabama
Registered Investment Advisory firm - (6/30/2016 Terminated)Texas
Registered Investment Advisory firm - (6/10/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2200 Jack Warner Parkway, Ne Suite 300, Tuscaloosa, AL 35401
Mailing Address
Phone number
(205) 345-8440
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 562 |
| AUM (Assets Under Management) | $ 362,695,957 |
Red Flags
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Company Information
JMF CAPSTONE WEALTH MANAGEMENT
CRD#: 118296Tuscaloosa, AL 35401TRUST BUT VERIFY
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