Manuel Arias

LANTERN WEALTH ADVISORS

SAN FRANCISCO, CA 94111

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CRD#: 2226776

Professional summary

Manuel Arias, who also goes by Sonny Arias, is a registered financial advisor currently at LANTERN WEALTH ADVISORS, LLC located in San Francisco, California and HEROLD & LANTERN INVESTMENTS, INC. located in San Francisco, California.

Manuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Manuel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sonny Arias

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.

LANTERN ADVISERS LLC SINCE 05/2010 INVESTMENT RELATED. HEADQUARTERS LOCATED AT 35 PINELAWN ROAD MELVILLE, NY. SALES. APPROXIMATELY 1 HOUR /MONTH WHICH MAY BE DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Manuel Arias'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

October 13, 2010 - Present

LANTERN WEALTH ADVISORS, LLC

Office #1: 111 Pine St, San Francisco, CA 94111

RIA

CRD#: 147420

SAN FRANCISCO, CA

Current

January 2, 2009 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 111 Pine Street Ste 1215, San Francisco, CA 94111

CRD#: 30996

San Francisco, CA

Past

February 13, 2003 - May 23, 2008

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

RIA

CRD#: 7404

SAN FRANCISCO, CA

Past

December 20, 2001 - December 31, 2008

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

SAN FRANCISCO, CA

Past

March 30, 1999 - December 21, 2001

HOTOVEC, POMERANZ & CO., LLC

CRD#: 41178

SAN FRANCISCO, CA

Past

September 16, 1996 - March 30, 1999

RIDGEWAY HELMS SECURITIES CORPORATION

CRD#: 38743

SAN FRANCISCO, CA

Past

February 9, 1995 - September 4, 1996

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

August 11, 1992 - March 3, 1995

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

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".

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - (1/15/2014 Approved)

California

Registered Investment Advisory firm - (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - (1/17/2014 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/2/2009)

IAR

California
(10/13/2010)

Colorado
(5/11/2020)

Florida
(1/9/2009)

Hawaii
(6/12/2020)

Idaho
(7/18/2019)

Nevada
(1/9/2009)

New Jersey
(1/7/2009)

New York
(1/2/2009)

Oklahoma
(3/4/2024)

Oregon
(3/10/2017)

Pennsylvania
(9/22/2022)

Utah
(2/23/2012)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/1992

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: 8/7/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/16/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/4/2004

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - (1/15/2014 Approved)

California

Registered Investment Advisory firm - (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - (1/17/2014 Terminated)

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Contact information

Main Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Mailing Address

Phone number

(631) 454-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LANTERN WEALTH ADVISORS APPENDIX 1 - WRAP BROCHURE (3/31/2025)

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	379
AUM (Assets Under Management)	$ 265,466,991

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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Advisor Monitoring

Firm Stability Insights

Manuel Arias

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Manuel Arias's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEROLD & LANTERN INVESTMENTS, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

HOTOVEC, POMERANZ & CO., LLC

RIDGEWAY HELMS SECURITIES CORPORATION

ROUND HILL SECURITIES, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Primary Firm SEC Registration

LANTERN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/1999

Series 63

Date: 8/19/1992

SIE

Date: 10/1/2018

Series 7

Date: 8/7/1992

Series 10

Date: 11/16/2004

Series 9

Date: 10/4/2004

FINRA

Current Firm

LANTERN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LANTERN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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