Louis J. Rettino

LIGHTHOUSE FINANCIAL ADVISORS

RED BANK, NJ 07701

Some features on this profile are disabled

CRD#: 4590496

Professional summary

Louis Joseph Rettino, who also goes by Louis J. Rettino, is a registered financial advisor currently at LIGHTHOUSE FINANCIAL ADVISORS, INC. located in Red Bank, New Jersey.

Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Louis has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.

At a Glance

Always Fiduciary

Aliases

Louis J. Rettino

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 Louis Joseph Rettino'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

July 10, 2026 - Present

LIGHTHOUSE FINANCIAL ADVISORS, INC.

Office #1: 3 Harding Road, Suite B, Red Bank, NJ 07701

RIA

CRD#: 121496

RED BANK, NJ

Past

January 20, 2023 - September 27, 2024

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

NEW YORK, NY

Past

March 7, 2016 - January 19, 2023

SANTANDER US CAPITAL MARKETS LLC

CRD#: 150696

RED BANK, NJ

Past

August 5, 2009 - March 14, 2016

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

NEW YORK, NY

Past

January 7, 2005 - August 5, 2009

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

NEW YORK, NY

Past

March 31, 2003 - April 30, 2003

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

January 28, 2003 - March 27, 2003

REDI GLOBAL TECHNOLOGIES LLC

CRD#: 41924

NEW YORK, NY

Past

November 19, 2002 - January 7, 2005

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

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 FINANCIAL ADVISORS, INC.

CRD#: 121496 / SEC#: 801-78290

RIA

Registered Investment Advisory firm - (7/5/2013 Approved)

New Jersey

Registered Investment Advisory firm - (7/12/2013 Terminated)

New York

Registered Investment Advisory firm - (7/9/2013 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

New Jersey
(7/10/2026)

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: 2/28/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/25/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/16/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/18/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/15/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/14/2008

General Securities Principal Examination

Current Firm

LIGHTHOUSE FINANCIAL ADVISORS, INC.

CRD#: 121496 / SEC#: 801-78290

RIA

Registered Investment Advisory firm - (7/5/2013 Approved)

New Jersey

Registered Investment Advisory firm - (7/12/2013 Terminated)

New York

Registered Investment Advisory firm - (7/9/2013 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3 Harding Road, Suite B, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 747-6680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts	2,016
AUM (Assets Under Management)	$ 869,173,414

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/11/2026	Cover Page	Report
08/27/2025	Cover Page	Report
01/07/2025	Cover Page	Report

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.

Similar Advisors

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

IAR

South Ozone Park, NY

Fernando Rivera

WELLS FARGO CLEARING SERVICES, LLC

IAR

EAST BRUNSWICK, NJ

Jonathan Bruschi

RBC CAPITAL MARKETS, LLC

IAR

MORRISTOWN, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Louis J. Rettino

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Joseph Rettino's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUSQUEHANNA FINANCIAL GROUP, LLLP

SANTANDER US CAPITAL MARKETS LLC

SUSQUEHANNA FINANCIAL GROUP, LLLP

FHN FINANCIAL SECURITIES CORP.

GOLDMAN SACHS & CO. LLC

REDI GLOBAL TECHNOLOGIES LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Primary Firm SEC Registration

LIGHTHOUSE FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2025

Series 63

Date: 11/25/2002

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 12/16/2002

Series 7

Date: 11/18/2002

Series 53

Date: 12/15/2008

Series 24

Date: 4/14/2008

Current Firm

LIGHTHOUSE FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LIGHTHOUSE FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors