Edward R. Stern

Some features on this profile are disabled

CRD#: 1565355

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Edward Randolph Stern was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 1986. Edward had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 22, 2019 - October 21, 2019

LIGHTHOUSE WEALTH STRATEGIES, LLC

RIA

CRD#: 299334

GIG HARBOR, WA

Past

January 4, 2019 - January 13, 2020

SOWELL MANAGEMENT

RIA

CRD#: 127145

GIG HARBOR, WA

Past

July 13, 2009 - March 15, 2019

EK RILEY INVESTMENTS, LLC

RIA

CRD#: 121003

Poulsbo, WA

Past

July 13, 2009 - January 24, 2019

EK RILEY INVESTMENTS, LLC

CRD#: 121003

Poulsbo, WA

Past

April 19, 2007 - January 3, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

POULSBO, WA

Past

August 12, 2006 - January 3, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

POULSBO, WA

Past

March 29, 1996 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

POULSBO, WA

Past

September 29, 1986 - April 1, 1996

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LIGHTHOUSE WEALTH STRATEGIES, LLC

CRD#: 299334 / SEC#: 801-114372

RIA

Registered Investment Advisory firm - (12/3/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/29/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/1/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Current Firm

LIGHTHOUSE WEALTH STRATEGIES, LLC

CRD#: 299334 / SEC#: 801-114372

RIA

Registered Investment Advisory firm - (12/3/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3312 Rosedale St Suite 201, Gig Harbor, WA 98335

Mailing Address

Phone number

(253) 948-3725

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2B BROCHURE M PAUL 7.25 (7/21/2025)

2B BROCHURE M HAYES 3.24 (3/20/2025)

2B BROCHURE B RANDALL 3.24 (3/20/2025)

2B BROCHURE GEORGE BONNEY 3.24 (3/20/2025)

2B RON BARTON 3.24 (3/20/2025)

2B BROCHURE NORDI 3.24 (3/20/2025)

2B BROCHURE KARSTEN CAVIEZEL 3.24 (3/20/2025)

2B BROCHURE B BUSKIRK 10.24 (3/20/2025)

2A WRAP BROCHURE LIGHTHOUSE 3.25 (3/20/2025)

2A BROCHURE LIGHTHOUSE (3/20/2025)

2B BROCHURE KEL CAVIEZEL 3.24 (3/20/2025)

2B BROCHURE Z PAUL 3.24 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	2,034
AUM (Assets Under Management)	$ 713,502,018

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edward R. Stern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SOWELL MANAGEMENT

EK RILEY INVESTMENTS, LLC

EK RILEY INVESTMENTS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

EDWARD JONES

Primary Firm SEC Registration

LIGHTHOUSE WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2007

Series 63

Date: 11/1/1986

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1986

Current Firm

LIGHTHOUSE WEALTH STRATEGIES, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIGHTHOUSE WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

Similar Advisors