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CRD#: 169135
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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

LIGHTHOUSE CAPITAL GROUP, LLC is located at 1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106 and was first established at Los Angeles, California in 04/22/2013. After operating for 12 years, LIGHTHOUSE CAPITAL GROUP, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of LIGHTHOUSE CAPITAL GROUP, LLC’s clients are individuals and 0% of their clients are high net worth individuals. LIGHTHOUSE CAPITAL GROUP, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at LIGHTHOUSE CAPITAL GROUP, LLC are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access LIGHTHOUSE CAPITAL GROUP, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at LIGHTHOUSE CAPITAL GROUP, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for LIGHTHOUSE CAPITAL GROUP, LLC Comes From

Understanding the Statistics for LIGHTHOUSE CAPITAL GROUP, LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
1

FIRM INFORMATION

Main Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Mailing Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Firm Size
Small
Phone Number
(626) 564-1031
Established
California since 04/22/2013
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
LIGHTHOUSE CAPITAL HOLDINGS, LLCOWNER
DRYDEN, SUSANA KAYCHIEF COMPLIANCE OFFICER5327906
THOMAS, WARREN JESSE MCEWINVICE PRESIDENT2299254
THORNTON, STEVEN LEECFO/FINOP4496384
UNGERECHT, JOSHUA PAULPRESIDENT5183573

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Advisor's working at LIGHTHOUSE CAPITAL GROUP, LLC

WT

Warren Jesse Mcewin Thomas

Warren J. M. Thomas
RR
CRD#: 2299254
Location:
Pasadena, CA 91106
Company:
LIGHTHOUSE CAPITAL GROUP, LLC
Disclosures:
Experience:
33 years
View Profile
ST

Steven Lee Thornton

Steve Lee Thornton
RR
CRD#: 4496384
Location:
Pasadena, CA 91101
Company:
THE SPARTAN GROUP
Disclosures:
Experience:
26 years
View Profile
PV

Parker Vincent

RR
CRD#: 8088530
Location:
Pasadena, CA 91106
Company:
LIGHTHOUSE CAPITAL GROUP, LLC
Disclosures:
Experience:
1 year
View Profile
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