Frederick Cary Lake
Professional Summary
Frederick Cary Lake, who also goes by Rick Lake, is a registered financial advisor currently at CRITO CAPITAL ADVISERS LLC located in Stamford, Connecticut. Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Frederick has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 22, Series 24 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Lake
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
CRITO CAPITAL ADVISERS LLC
Contact Information
Main Address
8 Wright Street Suite 107, Westport, CT 06880Phone Number
(203) 423-5600# of Employees
3Documents
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/10/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Jun 1995About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Jul 1995About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Frederick Cary Lake's CRS (Customer Relationship Summary).
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