Branch offices
3 offices
FINRA: Small firm
CRD #169135 · FINRA BrokerCheck + SEC IAPD
Lighthouse Capital Group, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lighthouse Capital Group, LLC ranks #4,271 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #75 of 279 on the same disclosure sort used on the state browse page. Lighthouse Capital Group, LLC carries 1 BrokerCheck disclosure across 3 branch offices - moderate load for a small firm, earning a Grade B.
- Grade B
- Safety grade
- 3
- branch offices
- 1
- disclosure
- #4,271 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 169135 Lighthouse Capital Group, LLC
Lighthouse Capital Group, LLC · Grade B · 1 disc · 0.33/office · Small firm
- CRD 169135
- GRADE B
- DISC 1
- REG 1
- ARB 0
- CIV 0
- BRANCH 3
- PER-OFF 0.33
- RANK #4,271 of 20,055
- BOOK Small firm
Nearest same-size peer: ABN Amro Capital Markets (USA) LLC (0.33 disc/office)
Lighthouse Capital Group, LLC ranks #4,271 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.33 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
1 event
On FINRA BrokerCheck
Regulatory events
1 action
100% of all disclosures
Disclosures per office
0.33 per office
1 ÷ 3 offices
Lighthouse Capital Group, LLC vs. every disclosing firm
Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)
0 Among the cleanest for its size a cleaner per-office record than 71% of 1,251 disclosing firms
Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.
Source FINRA BrokerCheck · SEC IAPD · 2026
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 1 |
Counts for Lighthouse Capital Group, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 1 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Pasadena, CA
- CRD Number
- 169135
Regulator-heavy mix
Lighthouse Capital Group, LLC in the heavier-disclosure third
Lighthouse Capital Group, LLC carries 1 BrokerCheck disclosure across 3 branch offices - a heavier-third raw book among graded firms (#4,271 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).
100% of Lighthouse Capital Group, LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Lighthouse Capital Group, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
California cohort · 0.49× state average
Lighthouse Capital Group, LLC tracks near the California disclosure average
Lighthouse Capital Group, LLC reports 1 BrokerCheck disclosure, about 0.49× the California average of 2.1 across 279 graded firms.
In California, 189 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the California state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Lighthouse Capital Group, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lighthouse Capital Group, LLC ranks #4,271 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #75 of 279 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Lighthouse Capital Group, LLC?
A grade of B reflects Lighthouse Capital Group, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Lighthouse Capital Group, LLC have?
Lighthouse Capital Group, LLC has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Lighthouse Capital Group, LLC?
Lighthouse Capital Group, LLC operates 3 branch offices and is classified by FINRA as a small firm, registered in CA (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Lighthouse Capital Group, LLC's disciplinary record?
You can verify Lighthouse Capital Group, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 169135. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Lighthouse Capital Group, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Lighthouse Capital Group, LLC carries 1 disclosure across 3 branch offices (about 0.33 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- ABN Amro Capital Markets (USA) LLC (NY) - 0.33 disclosures/office, nearest small firm peer to Lighthouse Capital Group, LLC's 0.33
- Accrued Equities Inc. (NY) - 0.33 disclosures/office, nearest small firm peer to Lighthouse Capital Group, LLC's 0.33
- AMG Distributors, Inc. (CT) - 0.33 disclosures/office, nearest small firm peer to Lighthouse Capital Group, LLC's 0.33
- Firms in CA - state roster that includes Lighthouse Capital Group, LLC's registration home.
- How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Lighthouse Capital Group, LLC.
- Reading BrokerCheck Reports - How Lighthouse Capital Group, LLC's 0.33 disclosures-per-office figure is derived.
- Most Disclosures - Raw disclosure-volume leaders for context next to Lighthouse Capital Group, LLC.
- Compare firms - put Lighthouse Capital Group, LLC next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.