Lighthouse Wealth Strategies, 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:
2540039
This advisory affiliate is 
a Firm
an Individual

Registered:
Yes
No
Name:
PAUL, MARTY, EDWARD
(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): 
04/20/2012
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2010024106101
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
RBC CAPITAL MARKETS INC.
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
FINRA RULE 2010, NASD RULES 2110, 2370, 3030 - MARTY E. PAUL ENGAGED IN OUTSIDE BUSINESS ACTIVITIES WITHOUT PROVIDING PROMPT
WRITTEN NOTICE TO HIS MEMBER FIRM; PAUL OWNED AND OPERATED REAL ESTATE DEVELOPMENT COMPANIES WHICH HE DID NOT DISCLOSE TO HIS
FIRM. PAUL PROVIDED INACCURATE INFORMATION TO HIS FIRM WHEN HE DISCLOSED HIS OUTSIDE BUSINESS ACTIVITIES. HE WROTE HE WAS A
PASSIVE OWNER OF ONE COMPANY WHEN HE WAS ACTUALLY AN ACTIVE OWNER. HE WROTE HE WAS A PASSIVE 50% OWNER OF ANOTHER FIRM
WHEN HE ACTUALLY OWNED 100% AND WAS AN ACTIVE OWNER. HE WROTE HE WAS A PASSIVE PARTNER IN A THIRD COMPANY WHEN HE WAS AN
ACTIVE OWNER. HE WROTE HE WAS A PASSIVE OWNER OF A FOURTH COMPANY AND THAT A CUSTOMER WAS ALSO AN OWNER WHEN HE WAS AN
ACTIVE OWNER AND OWNED 100% OF THE COMPANY. PAUL AND ONE OF HIS COMPANIES BORROWED $6,500,000 FROM A CUSTOMER, SECURED BY A
DEED OF TRUST, TO FINANCE A COMMERCIAL REAL ESTATE PROJECT CONTRARY TO HIS FIRM'S WRITTEN SUPERVISORY PROCEDURES PROHIBITING A
REGISTERED REPRESENTATIVE FROM BORROWING MONEY FROM A CUSTOMER UNLESS THE CUSTOMER WAS A MEMBER OF THE REPRESENTATIVE'S
IMMEDIATE FAMILY OR WAS REGULARLY ENGAGED IN THE BUSINESS OF LENDING MONEY OR PROVIDING CREDIT TO THE GENERAL PUBLIC WHICH THE
CUSTOMER WAS NOT. IN A COMPLIANCE QUESTIONNAIRE, PAUL INACCURATELY STATED HE HAD NEVER BORROWED FROM OR LENT MONEY TO ANY
CLIENTS; IN AN EMAIL, PAUL WROTE THAT HE CUSTOMER WAS A NON-PARTNER INVESTOR WHEN HE HAD ACTUALLY MADE A LOAN TO PAUL AND HIS
COMPANY. WHEN REPRESENTATIVES INQUIRED WHETHER PAUL HAD BORROWED MONEY, HE DENIED THAT HE OR HIS COMPANY HAD BORROWED
MONEY AND THE CUSTOMER WAS AN INVESTOR. IN AN EMAIL, PAUL WROTE THAT HIS COMPANY OWNED THE LAND FOR THE PROJECT AND THAT THE
CUSTOMER WAS THE OWNER OF THE IMPROVEMENTS WHICH WERE COMPLETELY SEPARATE WHEN THE COMPANY ACTUALLY OWNED BOTH THE LAND
AND THE IMPROVEMENTS AND THE CUSTOMER HAD MADE A LOAN TO FINANCE THE DEVELOPMENT AND CONSTRUCTION OF THE PROJECT.
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):
04/20/2012
 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: $ 20,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
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: 
MR. PAUL WAS SUSPENDED FOR ONE YEAR BEGINNING 05/07/2012 AND ENDING ON 05/06/2013 AS AN INVESTMENT ADVISOR REPRESENTATIVE
AND A BROKER DEALER SALESPERSON. A FINE OF $20,000.00 WAS ASSESSED AND PAYABLE UPON HIS RE-ASSOCIATION WITH A MEMBER FIRM.
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, MR. PAUL CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF THE FINDINGS. HE
WAS SUSPENDED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY FOR ONE YEAR BEGINNING 05/07/2012 AND ENDING 05/06/2013.
HE WAS ALSO FINED $20,000.00 PAYABLE UPON HIS RE-ASSOCIATION WITH A MEMBER FIRM.

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:
2540039
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
PAUL, MARTY, EDWARD
(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) 
WASHINGTON STATE SECURITIES DIVISION
2.
Principal Sanction:
Cease and Desist
Other Sanctions: 
CIVIL AND ADMINISTRATIVE PENALTY(IES)/FINE(S) MONETARY PENALTY OTHER THAN FINES REVOCATION
3.
Date Initiated (MM/DD/YYYY): 
01/13/2014
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
S-13-1144-13SC01
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
RBC CAPITAL MARKETS INC.
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON JANUARY 13, 2014, THE SECURITIES DIVISION ENTERED A STATEMENT OF CHARGES AND NOTICE OF INTENT TO ENTER ORDER TO CEASE AND
DESIST, REVOKE REGISTRATION, DENY FUTURE REGISTRATION APPLICATIONS, IMPOSE A FINE, AND CHARGE COSTS (STATEMENT OF CHARGES)
AGAINST MARTY EDWARD PAUL, AKA MARTIN PAUL (PAUL). THE STATEMENT OF CHARGES ALLEGES THAT PAUL BORROWED $6.5 MILLION FROM A
CLIENT, PROVIDED FALSE INFORMATION TO HIS FIRM ABOUT HIS OUTSIDE BUSINESS ACTIVITIES, INTRODUCED CLIENTS TO INVESTMENTS AWAY FROM
HIS FIRM, AND PROVIDED FALSE INFORMATION TO THE FIRM ABOUT HIS OUTSIDE INVESTMENTS. THE STATEMENT OF CHARGES ALLEGES THAT PAUL
WAS TERMINATED BY HIS FIRM FOR BORROWING THE MONEY FROM HIS CLIENT, AND THAT HE WAS SANCTIONED BY FINRA FOR BORROWING THE
MONEY FROM HIS CLIENT AND PROVIDING INACCURATE INFORMATION TO HIS FIRM ABOUT THE LOAN AND HIS OUTSIDE BUSINESS ACTIVITIES.
FURTHER, THE STATEMENT OF CHARGES ALLEGES THAT PAUL MISREPRESENTED HIS TERMINATION AND THE REGULATORY HISTORY TO THE SECURITIES
DIVISION.
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:
Consent
11. Resolution Date (MM/DD/YYYY):
10/17/2014
 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: $ 4,500.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
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: 
MR. PAUL WAS BARRED (TIME LIMITED) AS AN INVESTMENT ADVISOR REPRESENTATIVE, BROKER DEALER SALESPERSON FOR A PERIOD OF
EIGHTEEN MONTHS BEGINNING 08/01/2014 AND ENDING 01/31/2016
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 STATE'S ALLEGATIONS, MR. PAUL AGREED TO CEASE AND DESIST FROM VIOLATING THE SECURITIES ACT OF
WASHINGTON. MR. PAUL PAID AN ADMINISTRATIVE FINE OF $20,000.00, AND INVESTIGATIVE COST OF $4,500.00. FURTHER MR. PAUL AGREED TO AN
18 MONTH BAR FROM 08/01/2014 TO 01/31/2016 AS A INVESTMENT ADVISOR REPRESENTATIVE OR BROKER DEALER SALES PERSON