Kelly R. Caviezel

LIGHTHOUSE WEALTH STRATEGIES

Gig Harbor, WA 98335

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CRD#: 3159323

Professional summary

Kelly Roy Caviezel, who also goes by Kelly R. Caviezel, Kelly Caviezel, R Kelly Caviezel, Roy Kelly Caviezel, is a registered financial advisor currently at LIGHTHOUSE WEALTH STRATEGIES, LLC located in Gig Harbor, Washington.

Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Kelly has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kelly R. Caviezel | Kelly Caviezel | R Kelly Caviezel | Roy Kelly Caviezel

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.

Mr. Caviezel is a partial owner of RCW LLC a real estate building. Partners in this business include family members and clients. A potential conflict of interest exists between those family members and clients involved with Mr. Caviezel in outside business activities, and Mr. Caviezel's other clients; However, Mr. Caviezel is obligated as a fiduciary to act in the best interest of all of his clients. Mr. Caviezel is self-employed and uses Caviezel Wealth Management to pay business expenses. Lighthouse Wealth Strategies is a name brand to market the services offered.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Roy Caviezel'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

September 14, 2022 - Present

LIGHTHOUSE WEALTH STRATEGIES, LLC

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

RIA

CRD#: 299334

Gig Harbor, WA

Past

November 30, 2017 - September 21, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

GIG HARBOR, WA

Past

November 30, 2017 - September 21, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

GIG HARBOR, WA

Past

December 5, 2008 - December 11, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

TACOMA, WA

Past

December 5, 2008 - December 11, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

TACOMA, WA

Past

April 2, 2007 - December 8, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

TACOMA, WA

Past

April 2, 2007 - December 8, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

TACOMA, WA

Past

August 3, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

TACOMA, WA

Past

December 18, 1998 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

TACOMA, WA

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

Alaska
(10/5/2022)

IAR

Arizona
(10/10/2024)

IAR

California
(9/19/2022)

IAR

Nebraska
(9/19/2022)

IAR

Nevada
(11/1/2022)

IAR

Oregon
(9/21/2022)

IAR

South Carolina
(9/21/2022)

IAR

Washington
(9/14/2022)

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

State Security Law Exam

IAR

Series 65

Date: 1/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/5/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/16/1998

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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Kelly R. Caviezel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Roy Caviezel's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LIGHTHOUSE WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/1999

Series 63

Date: 12/21/1998

SIE

Date: 10/1/2018

Series 31

Date: 1/5/1999

Series 7

Date: 12/16/1998

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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