Brian D. Foley

LIGHTHOUSE CAPITAL

Boston, MA 02114

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CRD#: 5833494

Professional summary

Brian Dennis Foley, who also goes by Brian Dennis Foley 09, is a registered financial advisor currently at LIGHTHOUSE CAPITAL, LLC located in Boston, Massachusetts.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Brian has worked at 3 firms and has passed the Series 63, Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Dennis Foley 09

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.

O'Connor & O'Connor, PC; Investment related: Yes; Location: 100 Grandview Road Braintree Massachusetts 02184 United States; Description: O'Connor & O"Connor is a law firm in Braintree, MA. They are a general practice law firm with a primary focus on real estate closings and probate and estate planning law. ; Position Title: Attorney, Of-Counsel; Responsibilities Duties: I will be an of-counsel attorney for O'Connor & O'Connor. ; Start date: 2022-05-31; Hours per month during trading hours: 4; Hours per month outside trading hours: 12; Percentage of total yearly compensation expected to be derived from the business: 3.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Dennis Foley's 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

August 31, 2010 - Present

LIGHTHOUSE CAPITAL, LLC

Office #1: 90 Canal Street Suite 442, Boston, MA 02114

RIA

CRD#: 147497

Boston, MA

Past

September 3, 2010 - December 31, 2012

SOMERSET SECURITIES, INC.

CRD#: 2493

QUINCY, MA

Past

August 16, 2010 - August 30, 2010

ICAPITAL, LLC

RIA

CRD#: 122816

BOSTON, MA

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

Massachusetts
(8/31/2010)

IAR

New Hampshire
(1/29/2014)

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

Series 63

Date: 9/10/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/7/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 9/1/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LIGHTHOUSE CAPITAL, LLC

BAY COLONY ADVISORS, LLC | LIGHTHOUSE CAPITAL, LLC

CRD#: 147497 / SEC#:

Massachusetts

Registered Investment Advisory firm - (8/7/2008 Approved)

New Hampshire

Registered Investment Advisory firm - (6/12/2013 Approved)

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Contact information

Main Address

90 Canal Street Suite 442, Boston, MA 02114

Mailing Address

Po Box 130100, Boston, MA 02113

Phone number

(617) 980-1183

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 32,273,934

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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Brian D. Foley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Dennis Foley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIGHTHOUSE CAPITAL, LLC

SOMERSET SECURITIES, INC.

ICAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/10/2010

Series 65

Date: 10/7/2008

Series 6

Date: 9/1/2010

Current Firm

LIGHTHOUSE CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LIGHTHOUSE CAPITAL, LLC

TRUST BUT VERIFY

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