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Vivek N. Raj

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CRD#: 7331804
VR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Vivek Nmn Raj was a registered financial professional .

Vivek is a previously registered financial professional and started their career in finance in 2021. Vivek had worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1. Mr. Raj is the CEO of Digital Spaces Inc.; non-investment related; 1523 Grommon Rd., Naperville, IL 60564; this is an IT platform that measures people count, traffic direction and density real-time in any physical space like Retail Stores or Office Space; Start date: 11/2017; devotes approximately 20% of his time per month on activities related to this entity during trading hours; Mr. Raj is the CEO and oversees the operation of Digital Spaces Inc. 2. Mr. Raj is the Co-Founder of CRIoT Solutions; non-investment related; 600 Philips Dr., Coppell, TX 75019; this is an Internet of Things (IoT) platform built to provide real-time end to end visibility of fluid inventory in the auto aftermarket; Start date: 08/2017; devotes approximately 1 hour every month on activities related to this entity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 25, 2021 - December 31, 2022

OPTIONS LAKE

RIA
CRD#: 312705
Naperville, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/12/2021
Uniform Investment Adviser Law Examination

Current Firm

OL
OPTIONS LAKE
OPTIONS LAKE | OPTIONS LAKE, LLC

CRD#: 312705 / SEC#: 801-120383

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Contact information

Main Address
Naperville, IL
Mailing Address
2863 W. 95th Street Suite 143-514, Naperville, IL 60564
Phone number
(614) 787-5355
Established
Firm type
Fiscal year end
# of Employees
1

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.

Company Information

OPTIONS LAKE

CRD#: 312705

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