LIGHTHOUSE WEALTH STRATEGIES, LLC of GIG HARBOR, WA is an SEC-registered investment adviser (CRD 299334). Regulatory assets under management: $844.4M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Kimberly Marie Nordi | MANAGING MEMBER | — |
| George William Bonney | MEMBER | — |
| Brian Wayne Buskirk | MEMBER | — |
| Brady Brian Buskirk | MEMBER | — |
| Ronald James Barton | MEMBER | — |
| Gregory Syler | CHIEF COMPLIANCE OFFICER | — |
| PAUL JEROME EDWARD | MEMBER | — |
| BARTON D JAMES | MEMBER | — |
| BUSKIRK BRADY BRIAN | MEMBER | — |
| TAURMAN KIMBERLY MARIE | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| BONNEY GEORGE WILLIAM | MEMBER | — |
| BUSKIRK BRIAN WAYNE | MEMBER | — |
| NORDL KIMBERLY MARIE | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| NORDI KIMBERLY MARIE | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-01-13 | regulatory | ON JANUARY 13, 2014, THE SECURITIES DIVISION ENTERED A STATEMENT OF CHARGES AND NOTICE OF INTENT TO ENTER ORDER TO CEASE AND DESIST, REVOKE REGISTRATION, DENY FUTURE REGISTRATION APPLICATIONS, IMPOSE A FINE, AND CHARGE COSTS (STATEMENT OF CHARGES) AGAINST MARTY EDWARD PAUL, AKA MARTIN PAUL (PAUL). T… | Final | $5K |
| 2012-04-20 | regulatory | FINRA RULE 2010, NASD RULES 2110, 2370, 3030 - MARTY E. PAUL ENGAGED IN OUTSIDE BUSINESS ACTIVITIES WITHOUT PROVIDING PROMPT WRITTEN NOTICE TO HIS MEMBER FIRM; PAUL OWNED AND OPERATED REAL ESTATE DEVELOPMENT COMPANIES WHICH HE DID NOT DISCLOSE TO HIS FIRM. PAUL PROVIDED INACCURATE INFORMATION TO HIS… | Final | $20K |