Dax Weindorf: Lighthouse, Ex-Equitable Advisor Lands $95K Complaint

Summit, New Jersey financial advisor Dax Weindorf (CRD# 5461216) recently received an investor complaint alleging that he recommended unsuitable REITs. Financial Industry Regulatory Authority records show that he is registered as a broker with The Leaders Group and an investment advisor with Waterloo Capital, doing business as Lighthouse Financial.

Mr. Weindorf’s BrokerCheck report discloses one investor complaint. Filed in June 2025, it alleges that as a representative of Equitable Advisors, he recommended unsuitable real estate investment trusts. The pending complaint alleges damages of $95,000.

Lighthouse Financial’s website includes a profile of Mr. Weindorf that describes his experience and services. “In today’s ever changing economy and financial markets, putting active risk management practices to work in your portfolio that are tailored to fit your unique needs are more important than ever,” it explains. “Developing and implementing these strategies is his passion.”

Elsewhere on the website, the firm describes its own services to both individuals and businesses. “What sets us apart from other firms is that we combine tax advantaged strategies into our investment strategies in an effort to lower the amount of taxes our clients pay during their retirement years,” it explains. “If we can help lower the amount of taxes a person pays, they may be able to have a retirement lifestyle that normally they would not be able to have—or they could transfer more wealth to their family upon their death.”

According to the Financial Industry Regulatory Authority, Dax Weindorf holds 17 years of securities industry experience. Based in Summit, New Jersey, he has been registered as a broker with The Leaders Group and an investment advisor with Waterloo Capital since 2023, doing business as Lighthouse Financial. His past registrations include Equitable Advisors and Edward Jones. His credentials include the passage of three securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arkansas, California, and Minnesota. (Information current as of July 5, 2025.)

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