First Light Wealth Advisors, LLC

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE

CRD
Number:
1013350
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
KORZIK, ROBERT, NICHOLAS
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FINRA
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
SUSPENSION
3.
Date Initiated (MM/DD/YYYY): 
05/26/2020
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2017056036301
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
AMERIPRISE FINANCIAL SERVICES, INC.
6.
Principal Product Type:
Other
Other Product Types: 
UNSPECIFIED SECURITIES
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
WITHOUT ADMITTING OR DENYING THE FINDINGS, KORZIK CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE PARTICIPATED IN
AND SOLICITED CUSTOMERS OF HIS MEMBER FIRM TO INVEST IN PRIVATE SECURITIES TRANSACTIONS WITHOUT PRIOR WRITTEN FIRM APPROVAL. THE
FINDINGS STATED THAT KORZIK PERSONALLY INVESTED $50,000 IN A PRIVATE SECURITIES TRANSACTION INVOLVING AN ENERGY COMPANY, AND
SOLICITED AND FACILITATED THE PURCHASE OF APPROXIMATELY $550,000 OF THESE SECURITIES BY FIRM CUSTOMERS. KORZIK RECEIVED AN EMAIL
FROM A FRIEND AND CHIEF EXECUTIVE OFFICER (CEO) OF AN ENERGY COMPANY. THE EMAIL INDICATED THAT THE COMPANY WAS SEEKING TO RAISE
MONEY IN A PRIVATE OFFERING AND ATTACHED A COPY OF THE COMPANY'S INVESTOR SLIDE DECK, PRIVATE PLACEMENT MEMORANDUM, AND
BUSINESS PLAN. KORZIK SOLICITED SEVERAL INVESTORS, INCLUDING HIGH NET WORTH CLIENTS OF HIS FIRM, BY FORWARDING THE EMAIL AND ITS
ATTACHMENTS TO THEM. KORZIK'S PARTICIPATION IN THE OFFERING INCLUDED, AMONG OTHER THINGS, CIRCULATING INFORMATION REGARDING THE
COMPANY TO INVESTORS, SCHEDULING AND PARTICIPATING IN SEVERAL MEETINGS WITH HIS CUSTOMERS AND THE COMPANY'S CEO, ENGAGING IN
NUMEROUS EMAIL EXCHANGES WITH THE COMPANY'S CEO THAT REFERENCED AMOUNTS HIS CUSTOMERS WOULD INVEST, AND FOLLOWING UP WITH
HIS CUSTOMERS REGARDING THEIR INVESTMENTS IN THE COMPANY. WHEN THE FIRM DISCOVERED THAT KORZIK WAS FACILITATING HIS CUSTOMERS'
PURCHASES OF SECURITIES IN THE COMPANY, HE DENIED THAT ANY FIRM CUSTOMERS HAD PURCHASED COMPANY SECURITIES AND ATTEMPTED TO
BUY OUT THEIR SHARES. KORZIK RECEIVED NO COMPENSATION IN CONNECTION WITH HIS CUSTOMERS' PURCHASES OF THESE SECURITIES. THE
FINDINGS ALSO STATED THAT BY USING HIS FIRM EMAIL TO DISTRIBUTE THE EMAIL FROM THE CEO AND THE ATTACHMENTS, KORZIK FAILED TO
COMPLY WITH FINRA'S CONTENT STANDARDS FOR COMMUNICATIONS WITH THE PUBLIC. THE COMMUNICATIONS FAILED TO PROVIDE A FAIR AND
BALANCED DISCUSSION OF THE RISKS ASSOCIATED WITH THE INVESTMENT, AS THEY DID NOT PROMINENTLY DISCLOSE THAT THE SECURITIES WERE

SPECULATIVE, ILLIQUID, AND SUBJECT TO A HIGH DEGREE OF RISK. IN ADDITION, THE COMMUNICATIONS FAILED TO BALANCE THE DISCUSSION OF
THE FEATURES AND POTENTIAL BENEFITS OF THE OFFERING WITH THE CORRESPONDING RISKS. THE COMPANY'S BUSINESS PLAN AND INVESTOR DECK
OMITTED THE ASSUMPTIONS USED TO DERIVE THE STATED FINANCIAL PROJECTIONS, AND THEREFORE DID NOT PROVIDE A SOUND BASIS TO EVALUATE
THE INFORMATION. THE BUSINESS PLAN AND INVESTOR DECK ALSO CONTAINED PROMISSORY OR UNWARRANTED CLAIMS REGARDING ITS BUSINESS
OPERATIONS AND OBJECTIVES. ADDITIONALLY, THE EMAIL CONTAINED A FORWARD-LOOKING PREDICTION ESTIMATING THE PER SHARE VALUE OF THE
COMPANY'S STOCK.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Acceptance, Waiver & Consent(AWC)
11. Resolution Date (MM/DD/YYYY):
05/26/2020
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 8,500.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
SUSPENSION: ASSOCIATION WITH ANY FINRA-REGULATED BROKER-DEALER IN ANY CAPACITY FOR 9 MONTHS.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
THE START WAS 5/26/2020 AND THE END DATE WAS 02/26/2021. SUSPENSION: ASSOCIATION WITH ANY FINRA-REGULATED BROKER-DEALER IN
ANY CAPACITY FOR 9 MONTHS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
WITHOUT ADMITTING OR DENYING THE FINDINGS, KORZIK CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE PARTICIPATED IN
AND SOLICITED CUSTOMERS OF HIS MEMBER FIRM TO INVEST IN PRIVATE SECURITIES TRANSACTIONS WITHOUT PRIOR WRITTEN FIRM APPROVAL. THE
FINDINGS STATED THAT KORZIK PERSONALLY INVESTED $50,000 IN A PRIVATE SECURITIES TRANSACTION INVOLVING AN ENERGY COMPANY, AND
SOLICITED AND FACILITATED THE PURCHASE OF APPROXIMATELY $550,000 OF THESE SECURITIES BY FIRM CUSTOMERS. KORZIK RECEIVED AN EMAIL
FROM A FRIEND AND CHIEF EXECUTIVE OFFICER (CEO) OF AN ENERGY COMPANY. THE EMAIL INDICATED THAT THE COMPANY WAS SEEKING TO RAISE
MONEY IN A PRIVATE OFFERING AND ATTACHED A COPY OF THE COMPANY'S INVESTOR SLIDE DECK, PRIVATE PLACEMENT MEMORANDUM, AND
BUSINESS PLAN. KORZIK SOLICITED SEVERAL INVESTORS, INCLUDING HIGH NET WORTH CLIENTS OF HIS FIRM, BY FORWARDING THE EMAIL AND ITS
ATTACHMENTS TO THEM. KORZIK'S PARTICIPATION IN THE OFFERING INCLUDED, AMONG OTHER THINGS, CIRCULATING INFORMATION REGARDING THE
COMPANY TO INVESTORS, SCHEDULING AND PARTICIPATING IN SEVERAL MEETINGS WITH HIS CUSTOMERS AND THE COMPANY'S CEO, ENGAGING IN
NUMEROUS EMAIL EXCHANGES WITH THE COMPANY'S CEO THAT REFERENCED AMOUNTS HIS CUSTOMERS WOULD INVEST, AND FOLLOWING UP WITH
HIS CUSTOMERS REGARDING THEIR INVESTMENTS IN THE COMPANY. WHEN THE FIRM DISCOVERED THAT KORZIK WAS FACILITATING HIS CUSTOMERS'
PURCHASES OF SECURITIES IN THE COMPANY, HE DENIED THAT ANY FIRM CUSTOMERS HAD PURCHASED COMPANY SECURITIES AND ATTEMPTED TO
BUY OUT THEIR SHARES. KORZIK RECEIVED NO COMPENSATION IN CONNECTION WITH HIS CUSTOMERS' PURCHASES OF THESE SECURITIES. THE
FINDINGS ALSO STATED THAT BY USING HIS FIRM EMAIL TO DISTRIBUTE THE EMAIL FROM THE CEO AND THE ATTACHMENTS, KORZIK FAILED TO
COMPLY WITH FINRA'S CONTENT STANDARDS FOR COMMUNICATIONS WITH THE PUBLIC. THE COMMUNICATIONS FAILED TO PROVIDE A FAIR AND
BALANCED DISCUSSION OF THE RISKS ASSOCIATED WITH THE INVESTMENT, AS THEY DID NOT PROMINENTLY DISCLOSE THAT THE SECURITIES WERE
SPECULATIVE, ILLIQUID, AND SUBJECT TO A HIGH DEGREE OF RISK. IN ADDITION, THE COMMUNICATIONS FAILED TO BALANCE THE DISCUSSION OF
THE FEATURES AND POTENTIAL BENEFITS OF THE OFFERING WITH THE CORRESPONDING RISKS. THE COMPANY'S BUSINESS PLAN AND INVESTOR DECK
OMITTED THE ASSUMPTIONS USED TO DERIVE THE STATED FINANCIAL PROJECTIONS, AND THEREFORE DID NOT PROVIDE A SOUND BASIS TO EVALUATE
THE INFORMATION. THE BUSINESS PLAN AND INVESTOR DECK ALSO CONTAINED PROMISSORY OR UNWARRANTED CLAIMS REGARDING ITS BUSINESS
OPERATIONS AND OBJECTIVES. ADDITIONALLY, THE EMAIL CONTAINED A FORWARD-LOOKING PREDICTION ESTIMATING THE PER SHARE VALUE OF THE
COMPANY'S STOCK.