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JU

Joshua P. Ungerecht

LIGHTHOUSE CAPITAL GROUP
Pasadena, CA 91106
Some features on this profile are disabled
CRD#: 5183573
JU

Professional summary

Joshua Paul Ungerecht, who also goes by Josh Paul Ungerecht, Joshua Paul-mali Ungerecht, is a registered financial professional currently at LIGHTHOUSE CAPITAL GROUP, LLC located in Pasadena, California and EXCHANGERIGHT SECURITIES, LLC located in Pasadena, California.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2006. Joshua has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 79, Series 7, Series 22 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Josh Paul Ungerecht | Joshua Paul-Mali Ungerecht

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 Joshua Paul Ungerecht'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
BD
CRD#: 169135
Pasadena, CA
Current

October 9, 2017 - Present

EXCHANGERIGHT SECURITIES, LLC

Office #1: 1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
BD
CRD#: 283430
Pasadena, CA
Past

September 7, 2011 - June 24, 2014

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
PASADENA, CA
Past

May 17, 2011 - September 6, 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

August 14, 2006 - 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
(10/7/2016)
RR
Alaska
(1/16/2025)
RR
Arizona
(7/7/2014)
RR
Arkansas
(4/12/2016)
RR
California
(7/3/2014)
RR
Colorado
(7/21/2014)
RR
Connecticut
(7/24/2014)
RR
Delaware
(1/16/2025)
RR
District of Columbia
(6/30/2014)
RR
Florida
(7/21/2014)
RR
Georgia
(7/10/2014)
RR
Hawaii
(7/24/2014)
RR
Idaho
(1/16/2025)
RR
Illinois
(3/3/2015)
RR
Indiana
(9/25/2017)
RR
Iowa
(7/3/2014)
RR
Kansas
(1/16/2025)
RR
Kentucky
(1/16/2025)
RR
Louisiana
(10/14/2016)
RR
Maine
(1/16/2025)
RR
Maryland
(7/28/2014)
RR
Massachusetts
(10/2/2014)
RR
Michigan
(7/21/2014)
RR
Minnesota
(7/7/2014)
RR
Mississippi
(1/16/2025)
RR
Missouri
(7/11/2016)
RR
Montana
(7/8/2014)
RR
Nebraska
(4/18/2024)
RR
Nevada
(7/17/2014)
RR
New Hampshire
(1/16/2025)
RR
New Jersey
(7/17/2014)
RR
New Mexico
(1/16/2025)
RR
New York
(7/18/2014)
RR
North Carolina
(7/10/2014)
RR
North Dakota
(1/16/2025)
RR
Ohio
(7/3/2014)
RR
Oklahoma
(1/16/2025)
RR
Oregon
(6/21/2021)
RR
Pennsylvania
(7/8/2014)
RR
Puerto Rico
(3/4/2020)
RR
Rhode Island
(1/16/2025)
RR
South Carolina
(7/3/2014)
RR
South Dakota
(2/12/2024)
RR
Tennessee
(1/16/2025)
RR
Texas
(7/16/2014)
RR
Utah
(6/15/2016)
RR
Vermont
(7/13/2017)
RR
Virginia
(7/18/2014)
RR
Washington
(7/3/2014)
RR
West Virginia
(1/16/2025)
RR
Wisconsin
(4/4/2016)
RR
Wyoming
(1/16/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/10/2015
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/5/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/25/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/11/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 8/12/2006
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/16/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EXCHANGERIGHT SECURITIES, LLC
EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430 / SEC#: , 8-69753

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 01/06/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
EXCHANGERIGHT HOLDINGS, LLCOWNER
DRYDEN, SUSANA KAYCHIEF COMPLIANCE OFFICER, MANAGING MEMBER5327906
THOMAS, WARREN JESSE MCEWINPRESIDENT, MANAGING MEMBER2299254
THORNTON, STEVEN LEEFINOP4496384
UNGERECHT, JOSHUA PAULCEO, MANAGING MEMBER5183573

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

EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430Pasadena, CA 91106

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