Nelson Owen Lake

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2013 → 12/2021
  Jpmorgan Securities Llc
  Staten Island, NY
• 12/2021 → 12/2025
  Tiaa
  Staten Island, NY
• 12/2021 → 12/2025
  Tiaa-Cref Individual & Institutional Services, Llc
  Staten Island, NY
• 12/2025 → Present
  Charles Schwab & Co., Inc.
  New York, NY
• 12/2025 → Present
  Charles Schwab Bank
  New York, NY

Previous Registrations

• 2022-01-26 → 2025-12-10
  Tiaa-Cref Individual & Institutional Services, Llc
  Staten Island, NY
  Charlotte, NC
  Frisco, TX
• 2013-04-16 → 2021-12-02
  J.P. Morgan Securities Llc
  Staten Island, NY
  Staten Island, NY
  New York, NY
  New York, NY
• 2007-07-19 → 2009-11-23
  Morgan Stanley Investment Advisors Inc.
  New York, NY
• 2009-06-01 → 2009-11-23
  Morgan Stanley
  Jersey City, NJ
  Jersey City, NJ
  Purchase, NY
• 2007-10-22 → 2009-06-01
  Morgan Stanley & Co. Llc
  Jersey City, NJ

Other Businesses

4.SIGHT ASSET MANGEMENT LLC POSITION: owner NATURE: Real estate INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/24/2012 ADDRESS: Home Address, Staten Island NY 10301, United States DESCRIPTION: established LLC, but have not implemented / created activity

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-02-03
• S63 Uniform Securities Agent State Law Examination
  1994-08-29

Other Names

• Nel Lake
• N. Owen Lake
• Nelson Lake
• Nelson Owen Lake
• Nelson Lake
• Nelson O Lake