JG
John S. Groleau
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CRD#: 1589314
JG
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Steven Groleau, who also goes by Jj Groleau, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jj Groleau
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 12/13/2012 - Life Insurance Sales - INV REL - Non-Variable Insurance - 30% TIME SPENT - Agent--Life, DI, LTC 2. 12/14/2012 - Lighthouse Financial Group, Inc - - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 3. 7/25/2018 - IHT Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 07/20/2018 - 120 Hours Per Month - I provide investment advisory services through IHT Wealth Management, an independent investment advisor firm. I started this business activity in 07/20/2018. I expect to spend approximately 120 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 4/6/2020 - IHT Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 10/24/2019 - 10 Hours Per Month During Securities Trading. 5. 10/29/2020 - No Business Name - Investment Related - Home Based - Other-Author - Started 01/04/2010 - 40 Hours Per Month/2 Hours During Securities Trading - Author of books: 1. Parent's College Survival Guide, 2.College Planning Parent handbook, 3.College Planning Student handbook, 4.College Planning Athlete handbook, 5. Navigating the Storm a Personal Map to Thriving after a Heart Attack. 6. 9/29/2021 - St. Peter's Church - No Business Name - 1892 Kaneville Rd. Geneva, IL 60134 - Outside/W-2 Employment - Started 08/09/2021 - 80 Hours Per Month During Securities Trading - Maintenance - landscaping, painting, electrical. 7. 08/02/2022 - Best Life Ever, LLC - Investment Related - Bristol, WI 53104 - Real Estate Rental - Start Date - 03/01/2017 - 2 Hours Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 21, 2018 - August 28, 2023
IHT WEALTH MANAGEMENT LLC
RIA
CRD#: 171481
CHICAGO, IL
Past
January 21, 2016 - December 31, 2018
LIGHTHOUSE INSTITUTE
RIA
CRD#: 282604
NORTH AURORA, IL
Past
December 18, 2012 - April 1, 2016
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
NORTH AURORA, IL
Past
December 14, 2012 - August 28, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
NORTH AURORA, IL
Past
June 29, 2001 - December 17, 2012
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
AURORA, IL
Past
June 12, 2001 - December 17, 2012
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
NORTH AURORA, IL
Past
July 12, 2000 - June 13, 2001
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
June 26, 1998 - July 10, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
August 20, 1992 - March 25, 1998
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Past
January 3, 1992 - August 20, 1992
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 29, 1990 - December 18, 1991
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
December 17, 1986 - November 19, 1990
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IW
IHT WEALTH MANAGEMENT LLC
+RINGENBERG FINANCIAL GROUP | W INVESTMENTS | VENICE WEALTH PARTNERS, LLC | THRIVE LIFE 360 | THE NESSIM GROUP | TALL OAKS ADVISORS, LLC | SW ADVISERS | SUCCESS WEALTH MANAGEMENT | STONEBRIAR WEALTH MANAGEMENT | STILLWATER FINANCIAL PLANNING | STEVENS3 FINANCIAL SERVICES, LLC | SJD PARTNERS LLC | SHARD FINANCIAL SERVICES, INC. | SEWELL WEALTH MANAGEMENT | RPR FINANCIAL | ROCKY MOUNTAIN WEALTH MANAGEMENT | RIVERSTONE WEALTH MANAGEMENT | RINGENBERG FINANCIAL GROUP | RB WEALTH PARTNERS | PROVIDENT WEALTH MANAGEMENT | PRB WEALTH MANAGEMENT | PLAN WEALH CREATIVE | PINNACLE WEALTH MANAGEMENT | PEARLVEST CAPITAL LLC | NVISION WEALTH PARTNERS, LLC | NVISION WEALTH | NVISION 401(K) PLAN ADVISORS | MUELLER WEALTH GROUP LLC | MILESTONE FINANCIAL SERVICES | LPG FINANCIAL, LLC | LPG FINANCIAL | LIGHTHOUSE FINANCIAL GROUP | KONZA WEALTH ADVISORS | KMG WEALTH MANAGEMENT | KEYSTONE FINANCIAL STRATEGIES | KEITH WILLIAMS FINANCIAL SERVICES | JLS WEALTH MANAGEMENT | JEFF K. ROSS FINANCIAL | J. DAVID BARKLEY & ASSOCIATES | IRELAND WEALTH MANAGEMENT AND FINANCIAL PLANNING | IHT WEALTH MANAGEMENT LLC | HARBOR WEALTH | GREEN STONE BELT WEALTH ADVISORS, LLC | GRATITUDE WEALTH MANAGEMENT | GONGOLA FINANCIAL | EQUITY WEALTH MANAGEMENT | ECLIPSE PRIVATE WEALTH MANAGEMENT | DWF WEALTH MANAGEMENT | DEWITT WEALTH ADVISORS | CMD WEALTH PARTNERS | CHRISTOPHER R. STEIN COMPREHENSIVE WEALTH MANAGEMENT, INC. | CARRERA FINANCIAL | BRIDGE BENEFITS GROUP | BOARDWALK WEALTH SOLUTIONS | BAY AREA WEALTH MANAGEMENT | A&C MANAGEMENT GROUP
CRD#: 171481 / SEC#: 801-79769
RIA
Registered Investment Advisory firm - (5/28/2014 Approved)Florida
Registered Investment Advisory firm - (12/6/2016 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2015 Terminated)Texas
Registered Investment Advisory firm - (12/6/2016 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
IW
IHT WEALTH MANAGEMENT LLC
+RINGENBERG FINANCIAL GROUP | W INVESTMENTS | VENICE WEALTH PARTNERS, LLC | THRIVE LIFE 360 | THE NESSIM GROUP | TALL OAKS ADVISORS, LLC | SW ADVISERS | SUCCESS WEALTH MANAGEMENT | STONEBRIAR WEALTH MANAGEMENT | STILLWATER FINANCIAL PLANNING | STEVENS3 FINANCIAL SERVICES, LLC | SJD PARTNERS LLC | SHARD FINANCIAL SERVICES, INC. | SEWELL WEALTH MANAGEMENT | RPR FINANCIAL | ROCKY MOUNTAIN WEALTH MANAGEMENT | RIVERSTONE WEALTH MANAGEMENT | RINGENBERG FINANCIAL GROUP | RB WEALTH PARTNERS | PROVIDENT WEALTH MANAGEMENT | PRB WEALTH MANAGEMENT | PLAN WEALH CREATIVE | PINNACLE WEALTH MANAGEMENT | PEARLVEST CAPITAL LLC | NVISION WEALTH PARTNERS, LLC | NVISION WEALTH | NVISION 401(K) PLAN ADVISORS | MUELLER WEALTH GROUP LLC | MILESTONE FINANCIAL SERVICES | LPG FINANCIAL, LLC | LPG FINANCIAL | LIGHTHOUSE FINANCIAL GROUP | KONZA WEALTH ADVISORS | KMG WEALTH MANAGEMENT | KEYSTONE FINANCIAL STRATEGIES | KEITH WILLIAMS FINANCIAL SERVICES | JLS WEALTH MANAGEMENT | JEFF K. ROSS FINANCIAL | J. DAVID BARKLEY & ASSOCIATES | IRELAND WEALTH MANAGEMENT AND FINANCIAL PLANNING | IHT WEALTH MANAGEMENT LLC | HARBOR WEALTH | GREEN STONE BELT WEALTH ADVISORS, LLC | GRATITUDE WEALTH MANAGEMENT | GONGOLA FINANCIAL | EQUITY WEALTH MANAGEMENT | ECLIPSE PRIVATE WEALTH MANAGEMENT | DWF WEALTH MANAGEMENT | DEWITT WEALTH ADVISORS | CMD WEALTH PARTNERS | CHRISTOPHER R. STEIN COMPREHENSIVE WEALTH MANAGEMENT, INC. | CARRERA FINANCIAL | BRIDGE BENEFITS GROUP | BOARDWALK WEALTH SOLUTIONS | BAY AREA WEALTH MANAGEMENT | A&C MANAGEMENT GROUP
CRD#: 171481 / SEC#: 801-79769
RIA
Registered Investment Advisory firm - (5/28/2014 Approved)Florida
Registered Investment Advisory firm - (12/6/2016 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2015 Terminated)Texas
Registered Investment Advisory firm - (12/6/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
123 N. Wacker Dr. Suite 2300, Chicago, IL 60606
Mailing Address
Phone number
(855) 295-2828
Established
Firm type
Fiscal year end
# of Employees
179
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 23,131 |
| AUM (Assets Under Management) | $ 6,376,084,483 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
