Frederick C. Lake

CRITO CAPITAL ADVISERS LLC

Stamford, CT

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CRD#: 719098

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick 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.

Narrative Alpha / Not investment related / Home address / Financial writing and communications / Sole proprietor, self-employed, founder / 05-01-21 start date / Approx. 135 hours per month / Approx. 6 hours per day during trading hours / Writing and communications for financial services firms

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Cary 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®

None

Experience

Current

September 10, 2024 - Present

CRITO CAPITAL ADVISERS LLC

RIA

CRD#: 330570

Stamford, CT

Past

November 7, 2022 - September 4, 2024

CRITO CAPITAL LLC

RIA

CRD#: 161724

Stamford, CT

Past

December 10, 2019 - June 15, 2021

F/M INVESTMENTS LLC

RIA

CRD#: 304405

Stamford, CT

Past

September 1, 1995 - November 26, 2004

LAKE CAPITAL PARTNERS, INC.

CRD#: 38596

GREENWICH, CT

Past

September 24, 1991 - June 28, 2019

LAKE PARTNERS,INC.

RIA

CRD#: 107504

Stamford, CT

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

Connecticut
(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

State Security Law Exam

Series 63

Date: 6/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/2/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/13/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 22

Date: 6/21/1995

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/20/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 7/6/1995

Direct Participation Programs Principal Examination

Current Firm

CRITO CAPITAL ADVISERS LLC

CRD#: 330570 / SEC#:

Connecticut

Registered Investment Advisory firm - (8/27/2024 Approved)

New York

Registered Investment Advisory firm - (12/2/2024 Approved)

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Contact information

Main Address

8 Wright Street Suite 107, Westport, CT 06880

Mailing Address

Phone number

(203) 423-5600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

Frederick C. Lake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Cary Lake's CRS (Customer Relationship Summary).

Certified licenses

Experience

CRITO CAPITAL LLC

F/M INVESTMENTS LLC

LAKE CAPITAL PARTNERS, INC.

LAKE PARTNERS,INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/1995

SIE

Date: 4/2/2022

Series 3

Date: 12/13/2012

Series 22

Date: 6/21/1995

Series 24

Date: 10/20/1997

Series 39

Date: 7/6/1995

Current Firm

CRITO CAPITAL ADVISERS LLC

Contact information

Documents

Red Flags

Company Information

CRITO CAPITAL ADVISERS LLC

TRUST BUT VERIFY

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