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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2020-10-28
  • IL RA
    APPROVED
    Since 2020-10-28

Branch Locations

1 Tower Ln Ste 1800, Oakbrook Terrace, IL 60181-4632 • United States

100 N Lincolnway St Ste B, North Aurora, IL 60542 • United States

Iht Wealth Management Llc

123 N. Wacker Dr. Suite 2300, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2016-05-12
  • IL RA
    APPROVED
    Since 2016-05-12

Branch Locations

1 Tower Lane Suite 1800, Oakbrook Terrace, IL 60181 • United States

123 N. Wacker Dr. Suite 2300, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Oakbrook Terrace IL 05/2016 Present
Iht Wealth Management Llc Oakbrook Terrace IL 05/2016 Present
Previous Registrations
  • 2014-12-02 → 2016-06-06
    Aliquot Capital, Llc
    Batavia, IL
Other Businesses

1. 5/11/2016 - IHT WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Time Spent 100%. 2. 5/26/2016 - IHT Wealth Management LLC - DBA: (Hybrid) IHT Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 5/1/2016 - Time Spent 100% 3. 6/13/2016 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 05/15/2015 - 1 Hour Per Month During Securities Trading. 4. 8/1/2018 - Wendt Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/26/2018 - 5 Hours Per Month During Securities Trading. 5. 11/19/2019 - Lighthouse Financial Group - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:10/23/2019 - 5 hrs/mo - 5 hrs during trading. 6. 2/4/2020 - Mutual Trust Life Insurance company, Mutual of Omaha, various others - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/23/2019 - 5 Hours Per Month During Securities Trading. 7. 6/23/2020 - Clover Wealth Management LLC - Not Investment Related - 100 N. Lincolnway, Suite B, North Aurora, IL 60542 - Business Entity For Tax/Investment Purposes Only - Start Date: 7/1/2019 - 80 Hours Per Month/60 Hours During Securities Trading - Receiving 1099 income.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-02
S63 Uniform Securities Agent State Law Examination 1997-09-29
  • S65 Uniform Investment Adviser Law Examination
    2014-12-02
  • S63 Uniform Securities Agent State Law Examination
    1997-09-29
Other Names
  • Mike Glavin

View on SEC IAPD

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