Paul Light has been President, Secretary, Treasurer, Director, Chief Compliance Officer of Light Financial Services since December 2003, is a control person of the firm and directly owns 75% or more of it. Paul Light holds a Bachelor's degree in Business Administration from Minnesota State University Moorhead.
Light Financial Services, Inc. is a Fargo, ND firm with $176M under management, 622 clients and 2 advisers in one office, as of its March 2026 filing.
Paul Light is President of Light Financial Services, Inc. He worked at Prudential Insurance Company from 1989 until 1995 and was a financial advisor with Educators Financial Services from 1995 to 2001. In 2001 he left Educators Financial Services and founded Light Financial Services, Inc., a firm focused on financial planning and investment advice to individuals and their families.
Paul Light’s longest registration is the current one, 21 years at Light Financial Services since 2004. Before joining Light Financial Services in 2004, Paul Light was registered through United Securities Alliance, Inc.
- – present · 21 yearsFargo, ND · Adviser representative · Firm CRD 131678
- United Securities Alliance, Inc.– · under a yearFargo, ND · Adviser representative · Firm CRD 36487
Professional designations
Listed by Light Financial Services
- CERTIFIED FINANCIAL PLANNER®
Investment adviser representative registrations
Paul Light is registered as an investment adviser representative in 2 states. The first approvals date from November 2004; the most recent is Minnesota, in February 2018.
- MinnesotaSince 14 February 2018
- North DakotaSince 9 November 2004
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 2 December 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 30 July 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 October 1989 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 14 September 1989 |
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Paul Arthur Light
- CRD
- 1986167
- Firm
- Light Financial Services · CRD 131678
- Role
- President, Secretary, Treasurer, Director, Chief Compliance Officer
- Office
- 3575 45TH ST S, SUITE 112, Fargo, ND 58104
- Registration
- Investment adviser registration
- In the industry since
- October 2004
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- lightfinancialservices.com
Where does Paul Light work?
Paul Light has been President, Secretary, Treasurer, Director, Chief Compliance Officer of Light Financial Services, Inc. since December 2003, and is a control person of the firm.
Is Paul Light a financial advisor?
Yes. Paul Light has a current investment-adviser registration in Minnesota and North Dakota, through Light Financial Services since November 2004.
How many years of experience does Paul Light have?
Paul Light has 22 years in the financial industry, since October 2004, across 2 adviser firms.
What exams has Paul Light passed?
Paul Light has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in September 1989.
Where did Paul Light work before Light Financial Services?
Before Light Financial Services, Paul Light was registered through United Securities Alliance, Inc., October 2003 to November 2003.
Where is Paul Light based?
Paul Light’s registered office is in Fargo, ND.
Is Paul Light registered with FINRA?
No. Paul Light has no current broker registration.
Is Paul Light a CFP?
Light Financial Services lists Paul Light with the CFP credential (“CERTIFIED FINANCIAL PLANNER®”) on its website. CFP Board confirms certification status.
How can I verify Paul Light’s record?
Search CRD 1986167 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Paul Light’s full registration record.