Ronald J. Barton

LIGHTHOUSE WEALTH STRATEGIES

Gig Harbor, WA 98335

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CRD#: 2191276

Professional summary

Ronald James Barton, who also goes by Ron Barton, is a registered financial advisor currently at LIGHTHOUSE WEALTH STRATEGIES, LLC located in Gig Harbor, Washington.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Ronald has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron Barton

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.

1) RESIDENTIAL RENTAL; 23110 NE HWY 3 BELFAIR, WA. JUNE 2007 INVESTMENT RELATED. OWNED BY 100% RON & TRINET BARTON. RESPONSIBILITIES: COLLECT RENT, MAINTENANCE, PAY TAXES. <1 HOUR NON TRADING TIME 2) RESIDENTIAL RENTAL; 1046 GRANT ST DUPLEX MOSES LAKE, WA. APRIL 2001 INVESTMENT RELATED. OWNED 100% BY RON & TRINET BARTON. RESPONSIBILITIES: COLLECT RENT, MAINTENANCE, PAY TAXES. <1 HOUR NON TRADING TIME Sowell Management Services dba Lighthouse Wealth Strategies, IAR, investment related Mr. Barton is a broker with Veritas Independent Partners. Mr. Barton provides advise on annuities and spends approximately 4 hours a week on this investment related endeavor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald James Barton'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®

None

Experience

Current

February 21, 2019 - Present

LIGHTHOUSE WEALTH STRATEGIES, LLC

Office #1: 3312 Rosedale St Suite 201, Gig Harbor, WA 98335

RIA

CRD#: 299334

Gig Harbor, WA

Past

February 20, 2018 - January 3, 2023

TRUTORO

CRD#: 169291

Gig Harbor, WA

Past

September 5, 2017 - March 25, 2021

SOWELL MANAGEMENT

RIA

CRD#: 127145

Gig Harbor, WA

Past

January 16, 2009 - June 19, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TACOMA, WA

Past

January 16, 2009 - June 19, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TACOMA, WA

Past

April 2, 2007 - January 20, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

GIG HARBOR, WA

Past

April 2, 2007 - January 20, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

GIG HARBOR, WA

Past

September 7, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

GIG HARBOR, WA

Past

September 7, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

GIG HARBOR, WA

Past

June 13, 2000 - September 23, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SILVERDALE, WA

Past

May 9, 2000 - September 23, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 2, 1998 - May 9, 2000

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 14, 1997 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

January 28, 1994 - December 10, 1997

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

July 31, 1993 - February 9, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 3, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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.

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

Texas
(8/7/2024)

IAR

Washington
(2/21/2019)

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: 5/4/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/5/1991

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: 12/2/1991

General Securities Representative Examination

Current Firm

LIGHTHOUSE WEALTH STRATEGIES, LLC

CRD#: 299334 / SEC#: 801-114372

RIA

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

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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.

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Ronald J. Barton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald James Barton's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUTORO

SOWELL MANAGEMENT

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

PIPER SANDLER & CO.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

LIGHTHOUSE WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/1992

Series 63

Date: 12/5/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/2/1991

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

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