Nelson Owen Lake

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (6)

SIESeries 55Series 7Series 24Series 65Series 63

Registered states (6)

California · Connecticut · Florida · New Jersey · New York · Pennsylvania

Years in the industry (source record)

28

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Charles Schwab & Co., Inc.

Firm CRD

5393

SEC number

801-29938

Assets under management

Not yet retrieved from the source record

Website

www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗

Phone

415-667-7000

Firm location

San Francisco, CA, 94105

Employment history (28)

From the source registration record · current first

• Charles Schwab & Co., Inc.Current

  New York City, NY · IA capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  New York City, NY · BC capacity
  start not retrieved → present
• Advice And Planning Services

  Staten Island, NY · IA capacity
  Jan 26, 2022 → Dec 10, 2025
• Tiaa-Cref Individual & Institutional Services, LLC

  New York, NY · BC capacity
  Jan 26, 2022 → Dec 10, 2025
• J.P. Morgan Securities LLC

  New York, NY · IA capacity
  Apr 16, 2013 → Dec 2, 2021
• J.P. Morgan Securities LLC

  New York, NY · BC capacity
  Mar 22, 2013 → Dec 2, 2021
• Cetera Advisor Networks LLC

  Florham Park, NJ · BC capacity
  Sep 7, 2011 → Jan 31, 2013
• Morgan Stanley Smith Barney LLC

  Jersey City, NJ · IA capacity
  Jun 1, 2009 → Nov 23, 2009
• Morgan Stanley Smith Barney

  Purchase, NY · BC capacity
  Jun 1, 2009 → Nov 23, 2009
• Morgan Stanley Investment Advisors Inc.

  New York, NY · IA capacity
  Jul 19, 2007 → Nov 23, 2009
• Morgan Stanley & Co. Incorporated

  New York, NY · IA capacity
  Oct 22, 2007 → Jun 1, 2009
• Morgan Stanley & Co. Incorporated

  New York, NY · BC capacity
  Oct 22, 2007 → Jun 1, 2009
• Morgan Stanley Distribution, Inc.

  Jersey City, NJ · BC capacity
  May 7, 2007 → Aug 22, 2007
• Brown Brothers Harriman & Co.

  New York, NY · BC capacity
  Oct 7, 2005 → Feb 27, 2007
• Resrv Partners, Inc.

  New York, NY · BC capacity
  Mar 1, 2005 → Aug 25, 2005
• Mony Securities Corporation

  New York, NY · BC capacity
  Apr 26, 2004 → Mar 7, 2005
• Computershare Securities Corporation

  Chicago, IL · BC capacity
  Jan 6, 2004 → Jan 12, 2004
• Nylife Securities Inc.

  New York, NY · BC capacity
  Jun 18, 2003 → Sep 25, 2003
• Brokerageamerica, LLC

  New York, NY · BC capacity
  Apr 15, 2002 → Jan 15, 2003
• Brokerageamerica, Inc

  Ne W York, NY · BC capacity
  May 29, 2001 → Apr 15, 2002
• Csfbdirect, Inc.

  Jersey City, NJ · BC capacity
  Jan 12, 2000 → May 16, 2001
• Investec Ernst & Company

  New York, NY · BC capacity
  Jun 1, 1999 → Nov 4, 1999
• Stuart, Coleman & Co., Inc.

  New York, NY · BC capacity
  Dec 6, 1996 → Jun 1, 1999
• Commonwealth Associates

  New York, NY · BC capacity
  Jul 12, 1996 → Dec 13, 1996
• Gruntal & Co. Incorporated

  New York, NY · BC capacity
  Oct 12, 1995 → Jul 24, 1996
• Prudential Securities Incorporated

  New York, NY · BC capacity
  Jul 21, 1995 → Sep 25, 1995
• Americorp Securities, Inc.

  New York, NY · BC capacity
  Sep 20, 1994 → Jul 19, 1995
• Chatfield Dean & Co., Inc.

  Greenwood Village, CO · BC capacity
  Aug 19, 1994 → Sep 16, 1994

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.