FIRST LIGHT WEALTH ADVISORS, LLC of LITTLE FALLS, NJ is an SEC-registered investment adviser (CRD 291214). Regulatory assets under management: $116.3M.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| James M Korzik | CHIEF COMPLIANCE OFFICER AND MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-05-26 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, KORZIK CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE PARTICIPATED IN AND SOLICITED CUSTOMERS OF HIS MEMBER FIRM TO INVEST IN PRIVATE SECURITIES TRANSACTIONS WITHOUT PRIOR WRITTEN FIRM APPROVAL. THE FINDINGS STATED THAT KORZIK PERSONALLY IN… | Final | $9K |