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Detailed Report
SABRINA ADELINE STEWART
SABRINA ADELINE TOMPKINS
CRD#: 1423918
IA
Investment Adviser
B
Broker
LANTERN WEALTH ADVISORS, LLCCRD#: 147420 111 Pine Street
Suite 1215
San Francisco, CA 94111
HEROLD & LANTERN INVESTMENTS, INC.CRD#: 30996 111 PINE STREET
STE 1215
SAN FRANCISCO, CA 94111
Registration History
199019952000200520102015202020252 FIRMS2022 - Present (2 years)BPFLUEGER & BAERWALD INC. (CRD# 3023)1989 - 2022 (33 years)BVAN KASPER & COMPANY (CRD# 7665)1988 - 1989 (<1 year)IAPFLUEGER & BAERWALD INC. (CRD# 3023)2006 - 2021 (15 years)
License(s)

State Registrations

B
Alaska 4/1/2022
B
Missouri 4/1/2022
B
California 4/1/2022
B
Nevada 4/1/2022
IA
California 4/1/2022
B
New York 4/1/2022
B
Colorado 4/1/2022
B
North Carolina 4/1/2022
B
District of Columbia 4/1/2022
B
Ohio 4/4/2022
B
Florida 4/1/2022
B
Oregon 4/1/2022
B
Georgia 4/1/2022
B
Pennsylvania 4/1/2022
B
Hawaii 4/1/2022
B
South Carolina 5/16/2023
B
Idaho 1/3/2023
B
Texas 4/1/2022
B
Indiana 4/1/2022
B
Utah 4/1/2022
B
Maryland 4/1/2022
B
Vermont 4/1/2022
B
Massachusetts 4/1/2022
B
Virginia 4/1/2022
B
Michigan 4/1/2022
B
Washington 4/1/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LANTERN WEALTH ADVISORS, LLC (CRD#:147420)
111 Pine Street Suite 1215, San Francisco, CA 94111
Registered with this firm since 4/1/2022
B
HEROLD & LANTERN INVESTMENTS, INC. (CRD#:30996)
111 PINE STREET STE 1215, SAN FRANCISCO, CA 94111
Registered with this firm since 4/1/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/28/1989 - 03/31/2022 PFLUEGER & BAERWALD INC. (CRD#:3023) SAN FRANCISCO, CA
IA
 02/16/2006 - 12/03/2021 PFLUEGER & BAERWALD INC. (CRD#:3023) SAN FRANCISCO, CA
B
 04/04/1988 - 03/13/1989 VAN KASPER & COMPANY (CRD#:7665) SAN FRANCISCO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.