Individual Firm
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KELLY ROY CAVIEZEL
KELLY R. CAVIEZEL, KELLY CAVIEZEL, R KELLY CAVIEZEL, Roy Kelly Caviezel
CRD#: 3159323
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LIGHTHOUSE WEALTH STRATEGIES, LLCCRD#: 299334 3312 ROSEDALE ST
SUITE 201
GIG HARBOR, WA 98335
SUITE 201
GIG HARBOR, WA 98335
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Disclosures
26
Years of Experience
View By:
State Registrations
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Alaska 10/5/2022
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Nevada 11/1/2022
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Arizona 10/10/2024
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Oregon 9/21/2022
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California 9/19/2022
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South Carolina 9/21/2022
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Nebraska 9/19/2022
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Washington 9/14/2022
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Registered with this firm since 9/14/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/30/2017 - 09/21/2022 | GIG HARBOR, WA | |
B | 11/30/2017 - 09/21/2022 | GIG HARBOR, WA | |
IA | 12/05/2008 - 12/11/2017 | TACOMA, WA | |
B | 12/05/2008 - 12/11/2017 | TACOMA, WA | |
IA | 04/02/2007 - 12/08/2008 | TACOMA, WA | |
B | 04/02/2007 - 12/08/2008 | TACOMA, WA | |
IA | 08/03/1999 - 04/02/2007 | TACOMA, WA | |
B | 12/18/1998 - 04/02/2007 | TACOMA, WA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.