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Detailed Report
RONALD JAMES BARTON
Ron Barton
CRD#: 2191276
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Investment Adviser
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Previous Broker
LIGHTHOUSE WEALTH STRATEGIES, LLCCRD#: 299334 3312 ROSEDALE ST
SUITE 201
GIG HARBOR, WA 98335
Registration History
19952000200520102015202020252 FIRMS2000 - 2004 (4 years)2 FIRMS2004 - 2007 (2 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2017 (8 years)IALIGHTHOUSE WEALTH STRATEGIES, LLC (CRD# 299334)2019 - Present (6 years)BTRUTORO (CRD# 169291)2018 - 2023 (4 years)BDAIN RAUSCHER INCORPORATED (CRD# 31194)1998 - 2000 (2 years)BDAIN RAUSCHER INCORPORATED (CRD# 7600)1997 - 1998 (<1 year)BPIPER JAFFRAY INC. (CRD# 665)1994 - 1997 (3 years)BSMITH BARNEY SHEARSON INC. (CRD# 7059)1993 - 1994 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1991 - 1993 (1 year)IASOWELL MANAGEMENT (CRD# 127145)2017 - 2021 (3 years)
License(s)

State Registrations

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Texas 8/7/2024
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Washington 2/21/2019
Current Registration(s)
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LIGHTHOUSE WEALTH STRATEGIES, LLC (CRD#:299334)
3312 ROSEDALE ST SUITE 201, GIG HARBOR, WA 98335
Registered with this firm since 2/21/2019
Previous Registration(s)
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 02/20/2018 - 01/03/2023 TRUTORO (CRD#:169291) Gig Harbor, WA
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 09/05/2017 - 03/25/2021 SOWELL MANAGEMENT (CRD#:127145) Gig Harbor, WA
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 01/16/2009 - 06/19/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) TACOMA, WA
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 01/16/2009 - 06/19/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) TACOMA, WA
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 04/02/2007 - 01/20/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GIG HARBOR, WA
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 04/02/2007 - 01/20/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GIG HARBOR, WA
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 09/07/2004 - 04/02/2007 MORGAN STANLEY (CRD#:7556) GIG HARBOR, WA
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 09/07/2004 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) GIG HARBOR, WA
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 06/13/2000 - 09/23/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SILVERDALE, WA
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 05/09/2000 - 09/23/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
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 03/02/1998 - 05/09/2000 DAIN RAUSCHER INCORPORATED (CRD#:31194) NEW YORK, NY
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 11/14/1997 - 03/02/1998 DAIN RAUSCHER INCORPORATED (CRD#:7600)
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 01/28/1994 - 12/10/1997 PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
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 07/31/1993 - 02/09/1994 SMITH BARNEY SHEARSON INC. (CRD#:7059) NEW YORK, NY
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 12/03/1991 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.