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Jonathan Richard Lake

Four Points Capital Partners LLC

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About Jonathan Richard Lake

Jonathan Lake is a financial advisor at Four Points Capital Partners LLC, a firm based in New York, New York. Jonathan has been in the financial services industry since 1987. Jonathan holds Series 3, 7, 24, 63, and 65 licenses. Jonathan is registered in Arizona, California, Connecticut, New York and Ohio. Jonathan previously worked at WELLS FARGO CLEARING SERVICES, LLC, MORGAN STANLEY, RBC CAPITAL MARKETS, LLC, CORBY CAPITAL MARKETS, INC., CONSTITUTION CAPITAL CORP., MERIT CAPITAL ASSOCIATES, INC., PRUDENTIAL SECURITIES INCORPORATED, TUCKER ANTHONY INCORPORATED, and LEBENTHAL & CO., INC.

Firm Information

Jonathan Lake is currently registered with Four Points Capital Partners LLC. Four Points Capital Partners LLC is a Limited Liability Company formed in July 1997 and is registered to operate in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has one SEC registration and is approved in 52 states.

Not reported

Assets Under Management

Not reported

Total Clients

14

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Jonathan Lake’s Registration & Firm History

NY

03/04/2021 - Present

Four Points Capital Partners LLC (NEW YORK NY)

CT

08/04/2017 - 12/18/2019

WELLS FARGO CLEARING SERVICES, LLC (WESTPORT CT)

CT

09/09/2011 - 08/07/2017

MORGAN STANLEY (STAMFORD CT)

CT

03/28/2006 - 09/27/2011

RBC CAPITAL MARKETS, LLC (STAMFORD CT)

CT

01/18/2005 - 03/15/2006

CORBY CAPITAL MARKETS, INC. (SOUTHPORT CT)

CT

11/21/2000 - 02/16/2005

CONSTITUTION CAPITAL CORP. (WESTPORT CT)

CT

01/06/1997 - 11/17/2000

MERIT CAPITAL ASSOCIATES, INC. (WESTPORT CT)

NY

07/29/1993 - 01/09/1997

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

MA

12/14/1987 - 08/10/1993

TUCKER ANTHONY INCORPORATED (BOSTON MA)

NA

04/23/1986 - 12/02/1987

LEBENTHAL & CO., INC.

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Licenses & Designations

IA

Issued 12/06/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/10/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/21/1998

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/20/1995

Series 3 - National Commodity Futures Examination

BC

Issued 04/19/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 6 public disclosures for Jonathan Richard Lake. Review regulatory record here.
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