Paul A. Light

LIGHT FINANCIAL SERVICES

Fargo, ND 58104

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CRD#: 1986167

Professional summary

Paul Arthur Light, CFP® is a registered financial advisor currently at LIGHT FINANCIAL SERVICES, INC. located in Fargo, North Dakota.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Paul has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Paul Arthur Light's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

November 9, 2004 - Present

LIGHT FINANCIAL SERVICES, INC.

Office #1: 3575 45th St S Suite 112, Fargo, ND 58104

RIA

CRD#: 131678

Fargo, ND

Past

October 23, 2003 - November 13, 2003

UNITED SECURITIES ALLIANCE, INC.

RIA

CRD#: 36487

FARGO, ND

Past

October 23, 2003 - February 28, 2007

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

FARGO, ND

Past

December 21, 2001 - October 28, 2003

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

August 1, 2000 - December 21, 2001

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

July 1, 1996 - September 29, 1999

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

December 21, 1995 - July 1, 1996

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

September 20, 1995 - August 1, 2000

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

September 15, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

September 15, 1989 - August 21, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

LIGHT FINANCIAL SERVICES, INC.

GREEN KNIGHT FINANCIAL SERVICES (INACTIVE AS OF 2009) | LIGHT, DIEDE & ASSOCIATES, INC. | LIGHT FINANCIAL SERVICES, INC.

CRD#: 131678 / SEC#: 801-123619

RIA

Registered Investment Advisory firm - (4/5/2022 Approved)

Minnesota

Registered Investment Advisory firm - (4/25/2022 Terminated)

North Dakota

Registered Investment Advisory firm - (4/8/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(2/14/2018)

IAR

North Dakota
(11/9/2004)

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 65

Date: 7/30/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/2/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/14/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LIGHT FINANCIAL SERVICES, INC.

GREEN KNIGHT FINANCIAL SERVICES (INACTIVE AS OF 2009) | LIGHT, DIEDE & ASSOCIATES, INC. | LIGHT FINANCIAL SERVICES, INC.

CRD#: 131678 / SEC#: 801-123619

RIA

Registered Investment Advisory firm - (4/5/2022 Approved)

Minnesota

Registered Investment Advisory firm - (4/25/2022 Terminated)

North Dakota

Registered Investment Advisory firm - (4/8/2022 Terminated)

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Contact information

Main Address

3575 45th St S Suite 112, Fargo, ND 58104

Mailing Address

Phone number

(701) 356-5106

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIGHT FINANCIAL SERVICES INC. BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,632
AUM (Assets Under Management)	$ 145,111,574

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.

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Paul A. Light

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Arthur Light's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED SECURITIES ALLIANCE, INC.

UNITED SECURITIES ALLIANCE, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

PMG SECURITIES CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE SECURITIES, LLC

INVESTORS BROKERAGE SERVICES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

LIGHT FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/1998

Series 63

Date: 10/4/1989

Series 7

Date: 12/2/2002

Series 6

Date: 9/14/1989

Current Firm

LIGHT FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIGHT FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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