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123 N. Wacker Dr. Suite 2300, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-09-30 |
| KS | RA | APPROVED | 2018-02-06 |
Branch Locations
117 South Main Street, El Dorado, KS 67042 • United States
123 N. Wacker Dr. Suite 2300, Chicago, IL 60606 • United States
1212 Cavasback Ct., Punta Gorda, FL 33950 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | El Dorado | KS | 11/1991 | Present |
| Nvision Wealth Group, Llc (Formerly: Shadowstone Partners) | El Dorado | KS | 07/2014 | 12/2017 |
| Iht Wealth Management Llc | El Dorado | KS | 10/2017 | Present |
1. 7/11/2007 - Spencer Investment Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 7/11/2008: S & W INVESTMENT ENTERPRISES - Investment Related - REAL ESTATE RENTAL - Time Spent 0% - BOTH MYSELF AND DAVID WERNLI OWN THE BUILDING THAT OUR LPL BUSINESS IS HOUSED IN. WE ALSO OWN THE LPL OFFICE BUILDING IN AUGUSTA, KS TOGETHER. 3. 12/21/2017 - IHT Wealth Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 09/12/2017 - 160 Hours Per Month During Securities Trading. 4. 9/21/2020 - SW Advisers - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 9/14/2020 - 0 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-11-25 |
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