Jesse D. Thomas

LIGHTHOUSE CAPITAL GROUP

Pasadena, CA 91106

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CRD#: 4560595

Professional summary

Jesse Daniel Mcewin Thomas is a registered financial professional currently at LIGHTHOUSE CAPITAL GROUP, LLC located in Pasadena, California.

Jesse is registered as a RR (Registered Representative) and started their career in finance in 2002. Jesse has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Jesse Daniel Mcewin Thomas'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

June 30, 2014 - Present

LIGHTHOUSE CAPITAL GROUP, LLC

Office #1: 1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106Office #2: 1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106

CRD#: 169135

Pasadena, CA

Past

September 8, 2011 - June 24, 2014

SANDLAPPER SECURITIES, LLC

CRD#: 137906

GREENVILLE, SC

Past

May 23, 2011 - September 16, 2011

NELSONREID, INC.

CRD#: 45503

HOUSTON, TX

Past

November 18, 2010 - May 18, 2011

STEVEN L. FALK & ASSOCIATES INC.

CRD#: 14297

LAS VEGAS, NV

Past

June 29, 2007 - November 12, 2010

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

PASADENA, CA

Past

June 25, 2003 - June 29, 2007

OMNI BROKERAGE, INC.

CRD#: 16878

PASADENA, CA

Past

August 28, 2002 - July 7, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

State Registrations and Notice Filings

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

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
(7/3/2014)

Washington
(7/3/2014)

Exams

State Security Law Exam

Series 63

Date: 9/19/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/27/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/14/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LIGHTHOUSE CAPITAL GROUP, LLC

CRD#: 169135 / SEC#: , 8-69350

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106

Mailing Address

1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106

Phone number

(626) 564-1031

Established

California since 04/22/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LIGHTHOUSE CAPITAL HOLDINGS, LLC	OWNER
DRYDEN, SUSANA KAY	CHIEF COMPLIANCE OFFICER	5327906
THOMAS, WARREN JESSE MCEWIN	VICE PRESIDENT	2299254
THORNTON, STEVEN LEE	CFO/FINOP	4496384
UNGERECHT, JOSHUA PAUL	PRESIDENT	5183573

Disclosures

Regulatory Event

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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Jesse D. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jesse Daniel Mcewin Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANDLAPPER SECURITIES, LLC

NELSONREID, INC.

STEVEN L. FALK & ASSOCIATES INC.

INDEPENDENT FINANCIAL GROUP, LLC

OMNI BROKERAGE, INC.

SENTRA SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 9/19/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/27/2002

Series 24

Date: 7/14/2004

FINRA

Current Firm

LIGHTHOUSE CAPITAL GROUP, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LIGHTHOUSE CAPITAL GROUP, LLC

TRUST BUT VERIFY

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