Unclaimed Profile

Thomas Michael Kozlowski

LIGHTHOUSE FINANCIAL ADVISORS, INC.·NEW MARKET, Maryland

SIE, Series 7, Series 24, Series 63, Series 65CFPClean record31 years registeredLIGHTHOUSE FINANCIAL ADVISORS, INC.

164 WEST MAIN STREET, NEW MARKET, MD 21774CRD# 1535973Firm CRD# 118060

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Michael Kozlowski · NEW MARKET, MD

Registration

CRD #1535973 · LIGHTHOUSE FINANCIAL ADVISORS, INC. · 31 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: LIGHTHOUSE FINANCIAL ADVISORS, INC.

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Jul 2021 – Dec 2024

NEW MARKET, MD

LIGHTHOUSE WEALTH MANAGEMENT

Aug 2006 – Jul 2021

AUSTIN, TX

SII INVESTMENTS, INC.

May 2003 – Oct 2012

NEW MARKET, MD

LIGHTHOUSE FINANCIAL ADVISORS, INC.

Mar 2000 – Aug 2004

FREDERICK, MD

FSC SECURITIES CORPORATION

Jan 1995 – May 2003

FREDERICK, MD

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · January 1, 1995

Years registered · 31

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

LIGHTHOUSE FINANCIAL ADVISORS, INC.

CRD 118060 · SEC 801-68468

AUM

$462M

Regulatory assets under management

Employees

2,508 client accounts

Services offered by LIGHTHOUSE FINANCIAL ADVISORS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at LIGHTHOUSE FINANCIAL ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Thomas Michael Kozlowski offer?

Thomas Michael Kozlowski specializes in Financial Planning, Investment Management.

What are Thomas Michael Kozlowski's credentials?

Thomas Michael Kozlowski holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Thomas Michael Kozlowski located?

Thomas Michael Kozlowski is based in NEW MARKET, Maryland, last registered with LIGHTHOUSE FINANCIAL ADVISORS, INC..

How does Thomas Michael Kozlowski charge for services?

Thomas Michael Kozlowski's firm is compensated through percentage of aum, hourly charges, subscription fees, other: percentage of plan assets. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is LIGHTHOUSE FINANCIAL ADVISORS, INC.?

LIGHTHOUSE FINANCIAL ADVISORS, INC. has approximately 15 employees and manages $462M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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