Roberta Tondo

WHITE LIGHTHOUSE INVESTMENT MANAGEMENT

Cornelius, NC

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CRD#: 5966698

Professional summary

Roberta Tondo, CFP® is a registered financial advisor currently at WHITE LIGHTHOUSE INVESTMENT MANAGEMENT, INC. located in Cornelius, North Carolina.

Roberta is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Roberta has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Roberta Tondo'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®

CFP^®

Certified Financial Planner

Experience

Current

March 19, 2026 - Present

WHITE LIGHTHOUSE INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 108030

Cornelius, NC

Past

August 7, 2024 - March 5, 2026

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

CHARLOTTE, NC

Past

August 6, 2024 - March 5, 2026

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

CHARLOTTE, NC

Past

February 7, 2017 - September 8, 2022

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Charlotte, NC

Past

February 7, 2017 - September 8, 2022

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

Past

November 21, 2014 - January 30, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

STATESVILLE, NC

Past

September 22, 2014 - January 30, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

STATESVILLE, NC

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".

WHITE LIGHTHOUSE INVESTMENT MANAGEMENT, INC.

CRD#: 108030 / SEC#: 801-79053

RIA

Registered Investment Advisory firm - (1/17/2014 Approved)

California

Registered Investment Advisory firm - (11/25/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/28/2014 Terminated)

New York

Registered Investment Advisory firm - (1/27/2014 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

Massachusetts
(3/19/2026)

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 66

Date: 11/13/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/22/2014

General Securities Representative Examination

Current Firm

WHITE LIGHTHOUSE INVESTMENT MANAGEMENT, INC.

CRD#: 108030 / SEC#: 801-79053

RIA

Registered Investment Advisory firm - (1/17/2014 Approved)

California

Registered Investment Advisory firm - (11/25/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/28/2014 Terminated)

New York

Registered Investment Advisory firm - (1/27/2014 Terminated)

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Contact information

Main Address

Bedford, MA

Mailing Address

Phone number

(508) 471-4431

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/25/2025)

ADV PART 2B - JONATHAN LACHOWITZ (3/25/2025)

ADV PART 2B - EVA HOWLAND (3/25/2025)

ADV PART 2B - OTTO RIVERA (3/25/2025)

ADV PART 2B - JOHN YORK (3/25/2025)

ADV PART 2B - JOHN WANVIG (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,203
AUM (Assets Under Management)	$ 689,316,000

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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Firm Stability Insights

Roberta Tondo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roberta Tondo's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHITE LIGHTHOUSE INVESTMENT MANAGEMENT, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

WHITE LIGHTHOUSE INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/13/2014

SIE

Date: 10/1/2018

Series 7

Date: 9/22/2014

Current Firm

WHITE LIGHTHOUSE INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHITE LIGHTHOUSE INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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