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2801 Via Fortuna Suite 250, Austin, TX 78746 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2023-11-10 |
Branch Locations
3614 W Southern Hills Blvd. Suite 102, Rogers, AR 72758 • United States
2801 Via Fortuna Suite 250, Austin, TX 78746 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 06/2015 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 06/2015 | 11/2023 |
| Waterloo | Austin | TX | 11/2023 | Present |
| Lighthouse Financial | Rogers | AR | 05/2015 | Present |
| Smith Financial Consulting Llc | Rogers | AR | 01/2023 | Present |
| The Leaders Group Inc | Littleton | CO | 12/2023 | Present |
1.) LIGHTHOUSE FINANCIAL - 5/1/2015 - 3614 W Southern Hills Blvd, Suite 102, Rogers, AR 72758 - Advisor & Senior Partner & Insurance Licensed, Sales, Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) WATERLOO CAPITAL - 11/10/2023 - 2700 Via Fortuna, Suite 100, Austin, TX 78746, IAR, Invt Rel, RA Business, 10 hrs/mo; 10 hrs/mo (during trading hours). 3.) SMITH FINANCIAL CONSULTING LLC - 1/1/2023 - 3614 W Southern Hills Blvd, Suite 102, Rogers, AR 72758 - Owner, Financial advice, Invt Rel, Financial consulting, 150 hrs/mo; 150 hrs/mo (during trading hours) 4.) LIGHTHOUSE FINANCIAL ADVISORS LLC OWNER FINANCIAL PLANNING SINCE 01/2024 INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-09-18 |
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