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Stephen J. Bruckmann

Some features on this profile are disabled
CRD#: 5037534
SB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen Jeremiah Bruckmann, who also goes by Stephen J Bruckmann, Steve Bruckmann, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2005. Stephen had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen J Bruckmann | Steve Bruckmann

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 13, 2017 - November 6, 2017

LIGHTHOUSE FINANCIAL SERVICES INC

RIA
CRD#: 110367
BREA, CA
Past

June 10, 2016 - June 30, 2016

SCOTTRADE, INC.

BD
CRD#: 8206
LAGUNA HILLS, CA
Past

January 22, 2015 - June 1, 2016

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
NEWPORT BEACH, CA
Past

January 22, 2015 - June 1, 2016

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
NEWPORT BEACH, CA
Past

February 26, 2009 - January 6, 2015

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
MISSION VIEJO, CA
Past

February 25, 2009 - January 6, 2015

TD AMERITRADE, INC.

RIA
CRD#: 7870
MISSION VIEJO, CA
Past

January 27, 2009 - January 6, 2015

TD AMERITRADE, INC.

BD
CRD#: 7870
MISSION VIEJO, CA
Past

February 13, 2008 - January 20, 2009

E*TRADE SECURITIES LLC

BD
CRD#: 29106
COSTA MESA, CA
Past

October 3, 2007 - February 14, 2008

PACIFIC CORNERSTONE CAPITAL INCORPORATED

BD
CRD#: 40397
SANTA ANA, CA
Past

August 30, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
MANCHESTER, NH
Past

August 30, 2006 - September 13, 2007

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
MANCHESTER, NH
Past

December 15, 2005 - May 25, 2006

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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 SERVICES INC
LIGHTHOUSE FINANCIAL SERVICES INC
LIGHTHOUSE FINANCIAL SERVICES INC

CRD#: 110367 / SEC#: 801-55848

RIA
Registered Investment Advisory firm - (9/2/1988 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/23/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/21/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/30/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/2005
General Securities Representative Examination

Current Firm

LIGHTHOUSE FINANCIAL SERVICES INC
LIGHTHOUSE FINANCIAL SERVICES INC
LIGHTHOUSE FINANCIAL SERVICES INC

CRD#: 110367 / SEC#: 801-55848

RIA
Registered Investment Advisory firm - (9/2/1988 Approved)
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Contact information

Main Address
3070 Saturn Street Suite 101, Brea, CA 92821
Mailing Address
Phone number
(714) 572-8900
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (22 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (1/21/2025)

Regulatory assets under management

Total Number of Accounts454
AUM (Assets Under Management)$ 429,837,252

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 FINANCIAL SERVICES INC

LIGHTHOUSE FINANCIAL SERVICES INC

CRD#: 110367

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