Mark H. Sladkus

RED LIGHTHOUSE INVESTMENT MANAGEMENT

New York, NY

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CRD#: 874154

Professional summary

Mark H Sladkus is a registered financial advisor currently at RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC located in New York, New York.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Mark has worked at 3 firms and has passed the Series 65 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 Mark H Sladkus'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

April 20, 2021 - Present

RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 145682

New York, NY

Past

October 21, 1982 - August 29, 2000

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

October 12, 1982 - December 23, 1998

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

November 23, 1979 - July 30, 1982

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC

CRD#: 145682 / SEC#: 801-71211

RIA

Registered Investment Advisory firm - (3/15/2010 Approved)

New York

Registered Investment Advisory firm - (6/28/2010 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

New York
(4/20/2021)

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 65

Date: 9/27/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1979

General Securities Representative Examination

Current Firm

RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC

CRD#: 145682 / SEC#: 801-71211

RIA

Registered Investment Advisory firm - (3/15/2010 Approved)

New York

Registered Investment Advisory firm - (6/28/2010 Terminated)

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Contact information

Main Address

New York, NY

Mailing Address

Phone number

(917) 660-0980

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	314
AUM (Assets Under Management)	$ 531,083,858

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report
10/28/2024	Cover Page	Report
10/26/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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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Mark H. Sladkus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark H Sladkus's CRS (Customer Relationship Summary).

Certified licenses

Experience

RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/27/2007

Series 7

Date: 11/17/1979

Current Firm

RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RED LIGHTHOUSE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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