Richard Stephen Esposito
ChFC®, CLU®Professional Summary
Richard Stephen Esposito, ChFC®, CLU® is a registered financial advisor currently at LIGHTHOUSE WEALTH MANAGEMENT, LLC located in Bronx, New York. Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Richard has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
39 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
LIGHTHOUSE WEALTH MANAGEMENT, LLC
Contact Information
Main Address
2913 Harrington Avenue, Bronx, NY 10461Mailing Address
2913 Harrington Avenue, Bronx, NY 10461Phone Number
(347) 401-3778# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
15AUM (Assets Under Management)
$4,500,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(3/2/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Jun 1988About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1987About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Stephen Esposito's CRS (Customer Relationship Summary).
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