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CRD#: 34617
BD

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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

LIGHTPATH CAPITAL, INC is located at 1560 E. Southlake Blvd. Suite 100, Southlake, TX 76092 and was first established at Dallas, California in 06/02/1993. After operating for 33 years, LIGHTPATH CAPITAL, INC 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 LIGHTPATH CAPITAL, INC’s clients are individuals and 0% of their clients are high net worth individuals. LIGHTPATH CAPITAL, INC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at LIGHTPATH CAPITAL, INC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 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 LIGHTPATH CAPITAL, INC‘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 LIGHTPATH CAPITAL, INC. 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 LIGHTPATH CAPITAL, INC Comes From

Understanding the Statistics for LIGHTPATH CAPITAL, INC 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
No Disclosures

FIRM INFORMATION

Main Address
1560 E. Southlake Blvd. Suite 100, Southlake, TX 76092
Mailing Address
1560 E. Southlake Blvd. Suite 100, Southlake, TX 76092
Firm Size
Small
Phone Number
(214) 734-2957
Established
California since 06/02/1993
Firm Type
Corporation
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#
DHILLON, HARINDER SINGHCHAIRMAN OF THE BOARD
RICHARDSON, MARK JAYOWNER6259211
UCCIFERRI, CHARLES SANTINOPRINCIPAL7158252
UCCIFERRI, LOUIE NMNPRESIDENT1156956
UCCIFERRI, LOUIE NMNCCO, FINOP, AML-CO1156956

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Advisor's working at LIGHTPATH CAPITAL, INC

AC

Anthony Caruso

Antonino Caruso
IAR
RR
CRD#: 6058056
Location:
San Jose, CA 95160
Company:
CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC
Disclosures:
Experience:
13 years
View Profile
LP

Leslie Margaret Pappas

RR
CRD#: 1735372
Location:
St. Petersburg, FL
Company:
LIGHTPATH CAPITAL, INC
Disclosures:
Experience:
20 years
View Profile
DM

Donald Samuel Meredith

Don Meredith
RR
CRD#: 1867703
Location:
Southlake, TX 76092
Company:
LIGHTPATH CAPITAL, INC
Disclosures:
Experience:
37 years
View Profile
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