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JF

John H. Ferguson

LIGHTHOUSE CAPITAL GROUP
Pasadena, CA 91106
Some features on this profile are disabled
CRD#: 4947624
JF

Professional summary

John Holmes Ferguson is a registered financial professional currently at LIGHTHOUSE CAPITAL GROUP, LLC located in Pasadena, California.

John is registered as a RR (Registered Representative) and started their career in finance in 2005. John has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?
No

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 John Holmes Ferguson'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 12, 2016 - 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
BD
CRD#: 169135
Pasadena, CA
Past

March 24, 2014 - June 24, 2014

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
GREENVILLE, SC
Past

September 8, 2011 - March 29, 2012

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
GREENVILLE, SC
Past

May 20, 2011 - September 7, 2011

NELSONREID, INC.

BD
CRD#: 45503
PASADENA, CA
Past

November 4, 2009 - May 18, 2011

STEVEN L. FALK & ASSOCIATES INC.

BD
CRD#: 14297
PASADENA, CA
Past

June 29, 2007 - November 6, 2009

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
PASADENA, CA
Past

May 13, 2005 - June 29, 2007

OMNI BROKERAGE, INC.

BD
CRD#: 16878
PASADENA, CA

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(9/27/2017)
RR
Alaska
(12/23/2019)
RR
Arizona
(5/10/2017)
RR
Arkansas
(7/1/2025)
RR
California
(2/24/2016)
RR
Colorado
(5/15/2017)
RR
District of Columbia
(3/21/2025)
RR
Florida
(6/21/2016)
RR
Georgia
(1/4/2017)
RR
Illinois
(3/13/2017)
RR
Indiana
(11/27/2018)
RR
Maryland
(6/1/2017)
RR
Massachusetts
(2/4/2020)
RR
Michigan
(10/27/2020)
RR
Minnesota
(8/3/2017)
RR
Montana
(2/26/2018)
RR
Nevada
(11/12/2019)
RR
New Jersey
(9/12/2017)
RR
New York
(1/4/2017)
RR
Ohio
(5/11/2017)
RR
Oregon
(2/10/2017)
RR
Pennsylvania
(9/26/2017)
RR
Tennessee
(9/9/2016)
RR
Texas
(2/18/2016)
RR
Virginia
(1/18/2017)
RR
Washington
(9/23/2016)
RR
Wisconsin
(11/30/2018)
RR
Wyoming
(8/2/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 8/18/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/4/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 5/11/2005
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LIGHTHOUSE CAPITAL GROUP, LLC
LIGHTHOUSE CAPITAL GROUP, LLC

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LIGHTHOUSE CAPITAL HOLDINGS, LLCOWNER
DRYDEN, SUSANA KAYCHIEF COMPLIANCE OFFICER5327906
THOMAS, WARREN JESSE MCEWINVICE PRESIDENT2299254
THORNTON, STEVEN LEECFO/FINOP4496384
UNGERECHT, JOSHUA PAULPRESIDENT5183573

Disclosures

Regulatory Event1

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.

Company Information

LIGHTHOUSE CAPITAL GROUP, LLC

CRD#: 169135Pasadena, CA 91106

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